Ronald S. Patten
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.
Ronald Sheridan Patten, who also goes by Ronald Patten, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1998. Ronald had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 1998 - January 21, 2020
STEWART & PATTEN CO LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Current Firm
STEWART & PATTEN CO LLC
CRD#: 109235 / SEC#: 801-55172
Contact information
Regulatory assets under management
| Total Number of Accounts | 773 |
| AUM (Assets Under Management) | $ 1,028,662,783 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/03/2023 | ||
| 01/27/2023 | ||
| 12/14/2021 |
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.
