Robert J. Patterson

RJ PATTERSON GROUP

SAN DIEGO, CA 92101

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CRD#: 3221228

Professional summary

Robert James Patterson, who also goes by Robert James Pattereson, Robert James Petterson, is a registered financial advisor currently at RJ PATTERSON GROUP located in San Diego, California and PURSHE KAPLAN STERLING INVESTMENTS located in San Diego, California.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Robert has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert James Pattereson | Robert James Petterson

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. RJ Patterson Capital Investment Group, Inc. DBA: RJ Patterson Group-Investment related-402 West Broadway Suite 2600, San Diego, CA 92101-Financial Planning and Investment Management-CEO-3/2016-160 hrs/mth-8 hrs during trading hrs-Runs and manages financial service business

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert James Patterson's 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

March 24, 2016 - Present

RJ PATTERSON GROUP

Office #1: 402 West Broadway Suite 2600, San Diego, CA 92101

RIA

CRD#: 281752

SAN DIEGO, CA

Current

April 7, 2014 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 402 West Broadway Suite 2600, San Diego, CA 92101

CRD#: 35747

San Diego, CA

Past

January 28, 2015 - October 19, 2016

DANIEL WEALTH ADVISORS

RIA

CRD#: 150382

SAN DIEGO, CA

Past

March 20, 2014 - December 31, 2014

DANIEL WEALTH ADVISORS

RIA

CRD#: 150382

SAN DIEGO, CA

Past

June 1, 2009 - April 3, 2014

MORGAN STANLEY

RIA

CRD#: 149777

SAN DIEGO, CA

Past

June 1, 2009 - April 3, 2014

MORGAN STANLEY

CRD#: 149777

SAN DIEGO, CA

Past

January 12, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN DIEGO, CA

Past

January 12, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN DIEGO, CA

Past

December 15, 1999 - January 16, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN DIEGO, CA

Past

September 13, 1999 - January 16, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN DIEGO, CA

Past

June 21, 1999 - July 21, 1999

WFP SECURITIES

CRD#: 35098

SAN DIEGO, CA

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.

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

Arizona
(4/7/2014)

California
(4/7/2014)

IAR

California
(3/24/2016)

Colorado
(1/4/2018)

Florida
(4/7/2014)

Texas
(4/7/2014)

IAR

Texas
(3/24/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/26/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/19/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

RJ PATTERSON GROUP

PATTERSON, ROBERT JAMES | RJPCIG | RJ PATTERSON GROUP | RJ PATTERSON CAPITAL INVESTMENT GROUP, INC | RJ PATTERSON CAPITAL INVESTMENT GROUP INC.

CRD#: 281752 / SEC#:

California

Registered Investment Advisory firm - (3/22/2016 Approved)

Texas

Registered Investment Advisory firm - (3/24/2017 Conditional Restricted)

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Contact information

Main Address

402 West Broadway Suite 2600, San Diego, CA 92101

Mailing Address

Phone number

(619) 331-4133

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	426
AUM (Assets Under Management)	$ 98,001,120

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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Advisor Monitoring

Firm Stability Insights

Robert J. Patterson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert James Patterson's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

DANIEL WEALTH ADVISORS

DANIEL WEALTH ADVISORS

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WFP SECURITIES

State Registrations and Notice Filings

Exams

Series 66

Date: 6/26/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/19/1999

FINRA

Current Firm

RJ PATTERSON GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RJ PATTERSON GROUP

TRUST BUT VERIFY

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