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RC

Roland E. Courtney

Some features on this profile are disabled
CRD#: 2149639
RC

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.

Roland Earl Courtney III, who also goes by Roland Earl Courtney, was a registered financial professional .

Roland is a previously registered financial professional and started their career in finance in 1991. Roland had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Roland Earl Courtney

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 16, 2018 - January 7, 2025

PATRIOT INVESTMENT MANAGEMENT GROUP INC

RIA
CRD#: 112155
KNOXVILLE, TN
Past

January 21, 2014 - March 2, 2018

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
KNOXVILLE, TN
Past

January 2, 2014 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
KNOXVILLE, TN
Past

January 2, 2014 - March 2, 2018

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
KNOXVILLE, TN
Past

November 14, 2005 - August 20, 2012

TRUIST INVESTMENT SERVICES, INC.

RIA
CRD#: 17499
KNOXVILLE, TN
Past

August 12, 2003 - August 20, 2012

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
KNOXVILLE, TN
Past

June 12, 1991 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

June 12, 1991 - November 22, 1995

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PATRIOT INVESTMENT MANAGEMENT GROUP INC
PATRIOT INVESTMENT MANAGEMENT GROUP INC
PATRIOT INVESTMENT MANAGEMENT GROUP INC

CRD#: 112155 / SEC#: 801-55500

RIA
Registered Investment Advisory firm - (5/20/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/9/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/18/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/11/2003
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PATRIOT INVESTMENT MANAGEMENT GROUP INC
PATRIOT INVESTMENT MANAGEMENT GROUP INC
PATRIOT INVESTMENT MANAGEMENT GROUP INC

CRD#: 112155 / SEC#: 801-55500

RIA
Registered Investment Advisory firm - (5/20/1998 Approved)
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Contact information

Main Address
9721 Cogdill Road Suite 101, Knoxville, TN 37932
Mailing Address
Phone number
(865) 777-2479
Established
Firm type
Fiscal year end
# of Employees
24

SEC notice filing (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PATRIOT INVESTMENT MANAGEMENT GROUP INC ADV BROCHURE (2/24/2025)

Regulatory assets under management

Total Number of Accounts4,182
AUM (Assets Under Management)$ 1,686,856,719

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.

Company Information

PATRIOT INVESTMENT MANAGEMENT GROUP INC

PATRIOT INVESTMENT MANAGEMENT GROUP INC

CRD#: 112155

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