Todd D. Patterson

WATERWAY CAPITAL LLC

Chicago, IL 60606

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CRD#: 3107458

Professional summary

Todd David Patterson is a registered financial professional currently at WATERWAY CAPITAL LLC located in Chicago, Illinois.

Todd is registered as a RR (Registered Representative) and started their career in finance in 1998. Todd has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Todd David Patterson'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

May 1, 2020 - Present

WATERWAY CAPITAL LLC

Office #1: 150 N. Wacker Dr. Suite 1340, Chicago, IL 60606

CRD#: 128212

Chicago, IL

Past

November 25, 2013 - April 30, 2020

WAYPOINT DIRECT INVESTMENTS, LLC

CRD#: 132475

STAMFORD, CT

Past

January 16, 2013 - October 3, 2013

ULTIMUS FUND DISTRIBUTORS, LLC

CRD#: 104177

CINCINNATI, OH

Past

July 28, 2010 - March 30, 2012

FORESIDE FUND SERVICES, LLC

CRD#: 46106

LOUISVILLE, KY

Past

January 3, 2007 - July 1, 2010

FORESIDE DISTRIBUTION SOLUTIONS, LLC

CRD#: 118787

PORTLAND, ME

Past

January 2, 2002 - December 31, 2006

STERLING CAPITAL DISTRIBUTORS, LLC

CRD#: 103934

PORTLAND, ME

Past

May 31, 2000 - January 2, 2002

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

February 2, 2000 - June 16, 2000

TALBOT FINANCIAL SERVICES, INC.

CRD#: 46345

ALBUQUERQUE, NM

Past

November 20, 1998 - January 3, 2000

ARM SECURITIES CORPORATION

CRD#: 932

MINOT, ND

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(5/1/2020)

Indiana
(2/20/2025)

Kentucky
(5/11/2020)

Massachusetts
(1/8/2025)

Michigan
(2/10/2025)

Ohio
(2/14/2025)

Tennessee
(1/17/2025)

Exams

State Security Law Exam

Series 63

Date: 9/14/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/25/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/18/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/22/2010

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

WATERWAY CAPITAL LLC

BOSTONIA GLOBAL SECURITIES, LLC | WATERWAY CAPITAL LLC

CRD#: 128212 / SEC#: , 8-66108

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

699 Boylston Street Eighth Floor, Boston, MA 02116

Mailing Address

699 Boylston Street Eighth Floor, Boston, MA 02116

Phone number

(617) 226-8100

Established

Massachusetts since 04/25/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (13 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
WATERWAY PARTNERS LLC	OWNER
HOPKINS, THOMAS JOHN	FINOP, POO, & PFO	1835087
SARGENT, THOMAS ALLING	PRESIDENT/CEO	1111329
WARD, ANA FORTES	CCO	3274959

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Todd D. Patterson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Todd David Patterson's CRS (Customer Relationship Summary).

Certified licenses

Experience

WAYPOINT DIRECT INVESTMENTS, LLC

ULTIMUS FUND DISTRIBUTORS, LLC

FORESIDE FUND SERVICES, LLC

FORESIDE DISTRIBUTION SOLUTIONS, LLC

STERLING CAPITAL DISTRIBUTORS, LLC

FORESIDE FUNDS DISTRIBUTORS LLC

TALBOT FINANCIAL SERVICES, INC.

ARM SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 9/14/1998

SIE

Date: 10/1/2018

Series 7

Date: 11/25/2013

Series 6

Date: 11/18/1998

Series 26

Date: 11/22/2010

FINRA

Current Firm

WATERWAY CAPITAL LLC

Contact information

FINRA licenses (13 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

WATERWAY CAPITAL LLC

TRUST BUT VERIFY

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