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Charles E. Patterson

Some features on this profile are disabled
CRD#: 357857
CP

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.

Charles Evans Patterson, who also goes by Charles Patterson, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1966. Charles had worked at 7 firms and has passed the Series 63, Series 1, Series 53, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Patterson

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

February 26, 1982 - February 1, 1993

PATTERSON FINANCIAL SERVICES, INC.

BD
CRD#: 10368
LAFAYETTE, CA
Past

January 31, 1980 - March 30, 1982

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

January 21, 1979 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640
Past

September 26, 1978 - February 20, 1979

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

April 12, 1978 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572
Past

September 21, 1976 - March 17, 1978

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

September 13, 1971 - September 21, 1976

BLYTH EASTMAN DILLON & CO. INCORPORATED

BD
CRD#: 6361
Past

August 8, 1966 - September 13, 1971

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572

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
RR
Series 63
Date: 9/20/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 8/5/1966
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/24/1982
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/27/1982
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/27/1982
Registered Options Principal Examination

Current Firm

PF
PATTERSON FINANCIAL SERVICES, INC.
PAT PATTERSON WESTERN SECURITIES, INC. | PPW SECURITIES, INC. | PATTERSON WESTERN SECURITIES, INC. | PATTERSON FINANCIAL SERVICES, INC. | PATTERSON FINANCIAL SERVICES

CRD#: 10368 / SEC#: , 8-27316

BD
Terminated by SEC on 02/19/1993
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 01/08/1982
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

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

PATTERSON FINANCIAL SERVICES, INC.

CRD#: 10368

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