Robert J. Patton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Jude Patton, who also goes by Bob Jude Patton, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1990. Robert had worked at 11 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2019 - October 1, 2021
ICE BONDS SECURITIES CORPORATION
October 1, 2013 - July 7, 2019
TMC BONDS L.L.C.
November 20, 2009 - March 11, 2013
BONDS.COM LLC
July 2, 2009 - November 24, 2009
KEPLER CAPITAL MARKETS, INC.
March 4, 2009 - July 1, 2009
GLOBAL EMERGING CAPITAL GROUP, LLC
June 7, 2006 - October 1, 2008
MARKETAXESS CORPORATION
May 17, 2004 - May 11, 2006
RAFFERTY CAPITAL MARKETS, LLC
November 26, 2002 - June 25, 2004
AURIGA USA, LLC
May 9, 2002 - January 22, 2003
PECONIC SECURITIES LLC
April 16, 2001 - November 28, 2001
MARKET AXESS INC.
August 24, 1999 - November 29, 2001
MARKETAXESS CORPORATION
June 21, 1990 - December 3, 1997
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
ICE BONDS SECURITIES CORPORATION
CRD#: 123635 / SEC#: , 8-65601
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDITTRADE INC. | SHAREHOLDER | |
| BORSTELMANN, PETER L | PRESIDENT/DIRECTOR | 4825965 |
| EILEN, JEFFREY PHILIP | CHIEF COMPLIANCE OFFICER | 6149705 |
| FICARRA, THOMAS JOSEPH | DIRECTOR | 5502295 |
| LANSING, RYAN WILLIAM | DIRECTOR | 5408916 |
| MCKISSICK, JOHN JOSEPH | PRINCIPAL OPERATIONS OFFICER | 4939416 |
| THOMASSON, SEAN JOSEPH | FINANCIAL PRINCIPAL | 5124423 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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