Jonathan M. Patchen
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.
Jonathan Michael Patchen, who also goes by Joanthan Michael Patchen, Jon Patchen, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1995. Jonathan had worked at 12 firms and has passed the Series 63, 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
September 22, 2008 - October 4, 2012
WOODSTOCK FINANCIAL GROUP, INC.
March 5, 2007 - September 8, 2008
NEWBRIDGE SECURITIES CORPORATION
February 27, 2002 - February 21, 2007
WOODSTOCK FINANCIAL GROUP, INC.
October 18, 2000 - March 7, 2002
SALOMON GREY FINANCIAL CORPORATION
February 8, 2000 - October 16, 2000
COUCH & COMPANY, INCORPORATED
March 1, 1999 - January 27, 2000
ROYAL HUTTON SECURITIES CORP.
October 22, 1998 - November 28, 1998
ROSS SECURITIES CORP.
March 11, 1998 - September 9, 1998
RUSSO SECURITIES INC.
September 8, 1997 - March 4, 1998
FIRST NATIONAL EQUITY, CORP.
January 2, 1997 - August 11, 1997
WILLIAM SCOTT & CO. L.L.C.
March 27, 1996 - December 31, 1996
FIRST MONTAUK SECURITIES CORP.
November 1, 1995 - March 28, 1996
MEYERS POLLOCK ROBBINS, INC.
April 28, 1995 - November 10, 1995
WELLS FARGO ADVISORS FINANCIAL NETWORK, 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
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
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.
