Robert J. 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 Joseph Patterson, who also goes by 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 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2009 - May 26, 2016
TRUIST INVESTMENT SERVICES, INC.
January 16, 2009 - May 26, 2016
TRUIST INVESTMENT SERVICES, INC.
October 1, 2007 - December 17, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 31, 2007 - December 17, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 9, 2001 - December 31, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - March 27, 2001
WELLS FARGO CLEARING SERVICES, LLC
November 24, 1997 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
May 26, 1994 - October 17, 1997
FIRST UNION BROKERAGE SERVICES, 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
TRUIST INVESTMENT SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
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.
