William B. Patterson
Professional summary
William Burke Patterson JR, CFP®, who also goes by Wburke Patterson Jr, William Burke Patterson, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. William has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Burke Patterson JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Burke Patterson JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 25, 2013 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447October 30, 2002 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447June 20, 2001 - December 11, 2002
MANULIFE INVESTMENT MANAGEMENT (US) LLC
June 20, 2001 - May 30, 2003
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
October 19, 1998 - October 22, 2002
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
September 13, 1995 - September 10, 1998
AVANTAX INVESTMENT SERVICES, INC.
April 1, 1993 - August 22, 1995
FIDELITY BROKERAGE SERVICES LLC
November 27, 1991 - January 7, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 27, 1991 - January 7, 1993
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/25/2013)
(5/31/2024)
(10/30/2002)
(10/15/2019)
Exams
FINRA
Current Firm
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
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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