Richard S. Figueroa

PATRON PARTNERS

Houston, TX 77079

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CRD#: 2960549

Professional summary

Richard Scott Figueroa, who also goes by Richard S Figueroa, Rick Figueroa, is a registered financial advisor currently at PATRON PARTNERS, LLC located in Houston, Texas.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Richard has worked at 3 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard S Figueroa | Rick Figueroa

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. MEMORIAL HERMANN HEALTHCARE SYSTEM; NON-INVESTMENT RELATED; HOUSTON, TEXAS; NON-PROFIT HEALTH CARE SYSTEM; INVESTMENT COMMITTEE; START DATE 01/01/2014; 4 MEETINGS A YEAR AND 1 BOARD RETREAT; BOARD MEMBER DUTIES. 2. TEXAS DEPT OF LICENSING AND REGULATON; NON-INVESTMENT RELATED; AUSTIN, TEXAS; LICENSING FOR MULTIPLE ENTITIES; CHAIRMAN OF THE COMMISSION; START DATE 9/30/2014; 2 HOURS PER WEEK DURING TRADING HOURS; ADVISING THE LINCENSING DEPT ON OPERATION IDEAS AS MEMBER OF A BOARD COMMITTEE WITH MANAGEMENT OR SUPERVISORY FUNCTIONS; 3. INSURANCE AGENT; INVESTMENT RELATED; HOUSTON, TX; INSURANCE SALES; AGENT; TIME VARIES DEPENDING ON CLIENT NEEDS; SERVICING CLIENTS. 4. NATIONAL RIFLE ASSOCIATION; NON-INVESTMENT RELATED; WASHINGTON D.C.; BOARD MEMBER; START DATE 1/1/20; 4 HOURS PER MONTH DURING TRADING HOURS; ATTENDS BOARD MEETINGS. 5. PATRON CAPITAL, INC; INVESTMENT RELATED; HOUSTON, TX; HOLDING COMPANY; PRESIDENT; START DATE: 4/9/2024; 2 HOURS PER MONTH NOT DURING TRADING HOURS; CURRENTLY DUE DILIGENCE ON STRATEGIC BUSINESS OPPORTUNITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Scott Figueroa's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 2, 2020 - Present

PATRON PARTNERS, LLC

Office #1: 11700 Katy Freeway Suite 100, Houston, TX 77079

RIA

CRD#: 310629

Houston, TX

Past

January 6, 2009 - October 13, 2020

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

January 6, 2009 - October 13, 2020

UBS FINANCIAL SERVICES INC.

CRD#: 8174

HOUSTON, TX

Past

January 2, 1998 - January 9, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HOUSTON, TX

Past

December 10, 1997 - January 9, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PATRON PARTNERS, LLC

PATRON PARTNERS ADVISORS LLC | PATRON PARTNERS, LLC

CRD#: 310629 / SEC#: 801-119522

RIA

Registered Investment Advisory firm - (9/21/2020 Approved)

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

Texas
(10/2/2020)

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

IAR

Series 66

Date: 12/24/1997

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/15/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/8/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/18/2009

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/27/2009

General Securities Sales Supervisor - Options Module Examination

Current Firm

PATRON PARTNERS, LLC

PATRON PARTNERS ADVISORS LLC | PATRON PARTNERS, LLC

CRD#: 310629 / SEC#: 801-119522

RIA

Registered Investment Advisory firm - (9/21/2020 Approved)

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Contact information

Main Address

11700 Katy Freeway Suite 100, Houston, TX 77079

Mailing Address

Phone number

(971) 371-3450

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PATRON PARTNERS LLC - ADV PART 2A (10/2/2025)

Regulatory assets under management

Total Number of Accounts	659
AUM (Assets Under Management)	$ 349,195,764

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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Firm Stability Insights

Richard S. Figueroa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Scott Figueroa's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PATRON PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/24/1997

SIE

Date: 10/1/2018

Series 31

Date: 8/15/2005

Series 7

Date: 12/8/1997

Series 10

Date: 8/18/2009

Series 9

Date: 7/27/2009

Current Firm

PATRON PARTNERS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PATRON PARTNERS, LLC

TRUST BUT VERIFY

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