Patrick Masterson
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.
Patrick Masterson, CFP®, who also goes by Patrick Francis Masterson Sr., Patrick Francis Masterson, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1998. Patrick had worked at 13 firms and has passed the Series 66, Series 63 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
Start date: 2018
Experience
November 12, 2013 - April 6, 2021
RETIREMENT PLANNERS OF AMERICA
October 9, 2013 - October 23, 2013
MERCER GLOBAL ADVISORS INC.
July 9, 2012 - September 9, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 2, 2012 - September 9, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 18, 2009 - October 28, 2011
EDELMAN FINANCIAL SERVICES, LLC
August 18, 2009 - October 28, 2011
SANDERS MORRIS LLC
December 10, 2008 - January 22, 2009
SANDERS MORRIS LLC
December 1, 2008 - January 21, 2009
EDELMAN FINANCIAL ADVISORS LLC
April 1, 2008 - November 6, 2008
CAPITAL BROKERAGE CORPORATION
November 9, 2005 - November 6, 2008
ASSETMARK, INC.
October 25, 2005 - April 1, 2008
ASSETMARK CAPITAL CORPORATION
September 22, 2005 - November 9, 2005
SOVEREIGN ADVISERS
July 26, 2004 - September 7, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 26, 2004 - September 7, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 25, 2003 - July 19, 2004
BACAP DISTRIBUTORS, LLC
September 9, 2002 - April 1, 2003
CAPITAL BROKERAGE CORPORATION
April 27, 1998 - September 16, 2002
GE INVESTMENT DISTRIBUTORS, INC
Primary Firm SEC Registration
RETIREMENT PLANNERS OF AMERICA
CRD#: 157222 / SEC#: 801-72262
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
RETIREMENT PLANNERS OF AMERICA
CRD#: 157222 / SEC#: 801-72262
Contact information
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,760 |
| AUM (Assets Under Management) | $ 3,975,227,271 |
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.
