David M. 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.
David Michael Patterson, who also goes by David Patterson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 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
June 21, 2016 - November 21, 2023
BROWNSTONE INVESTMENT GROUP, LLC
May 29, 2013 - April 5, 2016
CANTOR FITZGERALD & CO.
October 13, 2011 - April 15, 2013
GLEACHER & COMPANY SECURITIES, INC.
March 8, 2011 - September 21, 2011
CITADEL SECURITIES LLC
April 23, 2009 - February 15, 2011
CHAPDELAINE TULLETT PREBON, LLC
April 1, 2005 - December 31, 2005
BANC OF AMERICA SECURITIES LLC
March 23, 2005 - April 21, 2009
BANC OF AMERICA SECURITIES LLC
February 4, 2004 - April 7, 2005
SANDLER, O'NEILL & PARTNERS, L.P.
April 17, 2003 - February 5, 2004
CITIGROUP GLOBAL MARKETS INC.
February 12, 2001 - February 5, 2004
CITIGROUP GLOBAL MARKETS INC.
December 6, 1994 - February 13, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
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
BROWNSTONE INVESTMENT GROUP, LLC
CRD#: 43884 / SEC#: , 8-50460
Contact information
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWNSTONE INVESTMENT OPPORTUNITIES, LLC | SOLE MEMBER | |
| BARTMESS, JOANNE CHRISTINE | FINANCIAL AND OPERATIONS PRINCIPAL (01/1998), CHIEF FINANCIAL OFFICER (10/2009), PFO & POO (10/18) | 2922047 |
| HUNTER, MICHELLE HALLA | CHIEF COMPLIANCE OFFICER | 2689083 |
| LOWEY, DOUGLAS BENNETT | MANAGER, PRESIDENT, CHIEF EXECUTIVE OFFICER | 1932929 |
| SABLOWSKY, JON SCOTT | CHIEF OPERATING OFFICER | 1515334 |
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.
