Robert E. Patterson
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 Edward Patterson, who also goes by Robert Edward Patterson, Robert Patterson, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 6 firms and has passed the Series 79TO, SIE, Series 87, Series 7, Series 10, Series 9, Series 14, Series 8 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
March 8, 2017 - March 9, 2022
CITIZENS CAPITAL MARKETS
August 24, 2006 - October 19, 2016
SIGNAL HILL CAPITAL GROUP LLC
September 29, 2005 - August 17, 2006
FRANKLIN DISTRIBUTORS, LLC
July 1, 1999 - November 30, 2005
LEGG MASON WOOD WALKER, INCORPORATED
September 1, 1997 - July 7, 1999
DB ALEX. BROWN LLC
November 29, 1994 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 12/10/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CITIZENS CAPITAL MARKETS
CRD#: 277073 / SEC#: , 8-69651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIZENS FINANCIAL GROUP, INC. | SHAREHOLDER | |
| HORN, WILLIAM CANNIFF III | POO | 2234778 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| KOSINSKI, THOMAS JAMES | FINOP, PFO | 6712417 |
| MCCREE, DONALD H III | CHAIRMAN | 2316064 |
| MCLAUGHLIN, BRENDAN M. | CHIEF COMPLIANCE OFFICER | 2562815 |
| SWIMMER, THEODORE C | CHIEF EXECUTIVE OFFICER | 2661662 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
