Rick Paterson
Professional summary
Rick Paterson is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in New York, New York.
Rick is registered as a RR (Registered Representative) and started their career in finance in 2000. Rick has worked at 3 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rick Paterson's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 28, 2016 - Present
LOOP CAPITAL MARKETS LLC
Office #1: 88 Pine Street 25th Floor, New York, NY 10005October 14, 2015 - June 3, 2016
TOPEKA CAPITAL MARKETS INC.
May 26, 2000 - April 13, 2012
UBS SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/28/2016)
Exams
FINRA
Current Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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