Richard A. Stocker

PATRIOT ASSET ADVISORS

Pataskala, OH 43062

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CRD#: 2573644

Professional summary

Richard Allen Stocker, CFP® is a registered financial advisor currently at PATRIOT ASSET ADVISORS, LLC located in Pataskala, Ohio.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Richard has worked at 7 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

(1) PATRIOT INSURANCE ADVISORS, LLC; INVESTMENT RELATED; PATASKALA, OHIO; INSURANCE SALES; OWNER; START DATE 06/2018; APPROXIMATELY 4 HOURS PER MONTH ALL OF WHICH ARE DURING TRADING HOURS; FIXED LIFE INSURANCE PRODUCTS, FIXED ANNUITIES, HEALTH INSURANCE AND P & C COVERAGE. (2) Licking County Coalition - 105 Jefferson St, Newark OH 46055; Treasurer; Not investment related; 2 hrs a month, none during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Allen Stocker's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

June 17, 2018 - Present

PATRIOT ASSET ADVISORS, LLC

Office #1: 7889 E Broad St Sw, Pataskala, OH 43062

RIA

CRD#: 293632

Pataskala, OH

Past

October 6, 2015 - May 24, 2018

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Patskala, OH

Past

September 15, 2015 - May 24, 2018

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

PATASKALA, OH

Past

August 26, 2009 - November 13, 2015

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 124446

PATASKALA, OH

Past

July 31, 2009 - September 29, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

PATASKALA, OH

Past

January 1, 2008 - August 3, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

COLUMBUS, OH

Past

January 1, 2008 - August 3, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

COLUMBUS, OH

Past

June 2, 1999 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

COLUMBUS, OH

Past

February 14, 1995 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

COLUMBUS, OH

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(6/17/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/17/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/22/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/13/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/4/2012

General Securities Principal Examination

Current Firm

PATRIOT ASSET ADVISORS, LLC

PATRIOT ADVISORS | TAYLOR, JONATHAN | PATRIOT ASSET ADVISORS, LLC | PATRIOT ADVISORS, LLC

CRD#: 293632 / SEC#:

Ohio

Registered Investment Advisory firm - (4/11/2018 Approved)

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Contact information

Main Address

7889 E Broad St Sw, Pataskala, OH 43062

Mailing Address

Po Box 933, Pataskala, OH 43062

Phone number

(614) 944-5225

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	373
AUM (Assets Under Management)	$ 46,558,551

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.

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Advisor Monitoring

Firm Stability Insights

Richard A. Stocker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Allen Stocker's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

SUMMIT BROKERAGE SERVICES, INC.

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

J.P. TURNER & COMPANY, L.L.C.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/17/1995

SIE

Date: 5/24/2018

Series 31

Date: 7/22/2009

Series 7

Date: 2/13/1995

Series 24

Date: 5/4/2012

Current Firm

PATRIOT ASSET ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PATRIOT ASSET ADVISORS, LLC

TRUST BUT VERIFY

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