Roger B. Patterson
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.
Roger Bruce Patterson, who also goes by Roger B. Patterson, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1971. Roger had worked at 10 firms and has passed the Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2002 - September 13, 2007
WIPFLI FINANCIAL ADVISORS, LLC
February 19, 2002 - December 31, 2025
THE ADVISORY GROUP OF SAN FRANCISCO, LLC
June 20, 1994 - May 4, 1999
P.R. TAYLOR & CO., INC.
July 13, 1990 - July 7, 1992
P.R. TAYLOR & CO., INC.
March 28, 1987 - July 8, 1992
OGILVIE SECURITY ADVISORS CORPORATION
September 4, 1984 - March 30, 1987
FSC SECURITIES CORPORATION
February 26, 1982 - September 25, 1984
PATTERSON FINANCIAL SERVICES, INC.
February 23, 1977 - March 17, 1982
PLANNED INVESTMENTS INC.
November 11, 1976 - September 2, 1982
BERKSHIRE EQUITY SALES, INC.
July 1, 1975 - January 23, 1977
CNA INVESTOR SERVICES, INC.
March 3, 1971 - September 1, 1975
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 2/25/1971
Registered Representative ExaminationCurrent Firm
WIPFLI FINANCIAL ADVISORS, LLC
CRD#: 109983 / SEC#: 801-56865
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 9,010 |
| AUM (Assets Under Management) | $ 5,066,337,996 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/23/2022 | ||
| 01/13/2022 |
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.
