Ronald A. Paterson
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.
Ronald Anthony Paterson was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1991. Ronald had worked at 10 firms and has passed the Series 63, 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
February 4, 2020 - April 29, 2020
DINOSAUR FINANCIAL GROUP, L.L.C
September 28, 2015 - September 3, 2019
THE VERTICAL GROUP
January 5, 2009 - July 10, 2015
TP ICAP GLOBAL MARKETS AMERICAS LLC
October 5, 2006 - February 5, 2007
CREDITEX GROUP, INC.
October 5, 2006 - October 21, 2008
ICE BONDS SECURITIES CORPORATION
November 16, 1995 - December 5, 1996
LIBERTY BROKERS
October 26, 1995 - October 2, 2006
TULLETT PREBON FINANCIAL SERVICES LLC
November 10, 1993 - October 30, 1995
CANTOR FITZGERALD SECURITIES
September 16, 1991 - October 30, 1995
MINT BROKERS
July 11, 1991 - August 15, 1991
CADARET, GRANT & CO., INC.
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
Current Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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