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Robert B. Paterson

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CRD#: 357700
RP

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.

Robert Bruce Paterson was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1972. Robert had worked at 12 firms and has passed the Series 65, Series 63, Series 55, Series 1 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 6, 2011 - June 26, 2014

OCKHAM WEALTH ADVISORS L.L.C.

RIA
CRD#: 146117
TENAFLY, NJ
Past

April 21, 2009 - August 16, 2010

GATE US LLC

BD
CRD#: 10863
NEW YORK, NY
Past

August 22, 2008 - March 9, 2009

BATTENKILL CAPITAL, INC.

BD
CRD#: 131548
MANCHESTER CENTER, VT
Past

May 24, 2006 - July 2, 2007

OTR GLOBAL TRADING LLC

BD
CRD#: 138116
PURCHASE, NY
Past

August 21, 2002 - July 2, 2007

OTA LLC

BD
CRD#: 25816
PURCHASE, NY
Past

March 15, 2001 - July 16, 2002

FULCRUM GLOBAL PARTNERS LLC

BD
CRD#: 104455
NEW YORK, NY
Past

November 9, 1995 - April 26, 1999

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

August 22, 1994 - May 22, 1995

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

December 31, 1981 - May 26, 1993

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
Past

February 27, 1980 - May 26, 1993

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

August 6, 1976 - February 27, 1980

MORGAN STANLEY & CO., INCORPORATED

BD
CRD#: 5203
Past

April 18, 1975 - October 23, 1976

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
Past

January 19, 1972 - April 18, 1975

HUTCHINS MIXTER & PARKINSON INC

BD
CRD#: 1000001

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/5/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/26/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 1/26/2004
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 1
Date: 1/13/1972
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 8/14/1991
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

OW
OCKHAM WEALTH ADVISORS L.L.C.
OCKHAM WEALTH ADVISORS | OCKHAM WEALTH ADVISORS L.L.C.

CRD#: 146117 / SEC#:

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Contact information

Main Address
Alpharetta, GA
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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.

Company Information

OCKHAM WEALTH ADVISORS L.L.C.

CRD#: 146117

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