SP
Stuart C. Patterson
CAVU SECURITIES
RED BANK, NJ 07701
Some features on this profile are disabled
CRD#: 4309118
SP
Professional summary
Stuart Colin Patterson, who also goes by ., Stuart Patterson, is a registered financial professional currently at CAVU SECURITIES LLC located in Red Bank, New Jersey.
Stuart is registered as a RR (Registered Representative) and started their career in finance in 2000. Stuart has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
. | Stuart 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.
CRS (Client Relationship Summary) - BD
Click below to view Stuart Colin 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®
NoneExperience
Current
December 17, 2013 - Present
CAVU SECURITIES LLC
Office #1: 331 Newman Springs Rd Suite 320, Red Bank, NJ 07701Office #2: 331 Newman Springs Rd Suite 320, Red Bank, NJ 07701BD
CRD#: 6906
RED BANK, NJ
Past
August 11, 2006 - December 7, 2013
CDK FINANCIAL SERVICES, LLC
BD
CRD#: 124333
NEW YORK, NY
Past
October 1, 2000 - June 7, 2004
BANC OF AMERICA SPECIALIST, INC.
BD
CRD#: 103971
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(3/28/2019)
RR
Alaska(11/15/2021)
RR
Arizona(3/28/2019)
RR
Arkansas(1/18/2022)
RR
California(1/6/2016)
RR
Colorado(3/28/2019)
RR
Connecticut(1/7/2016)
RR
Delaware(3/28/2019)
RR
District of Columbia(1/6/2016)
RR
Florida(3/28/2019)
RR
Georgia(3/28/2019)
RR
Hawaii(3/17/2020)
RR
Idaho(8/28/2019)
RR
Illinois(3/28/2019)
RR
Indiana(8/16/2021)
RR
Iowa(8/28/2019)
RR
Kansas(10/14/2021)
RR
Kentucky(3/28/2019)
RR
Louisiana(1/6/2016)
RR
Maine(4/14/2021)
RR
Maryland(1/6/2016)
RR
Massachusetts(2/11/2021)
RR
Michigan(10/14/2021)
RR
Minnesota(11/22/2021)
RR
Mississippi(8/29/2019)
RR
Missouri(3/28/2019)
RR
Montana(2/18/2022)
RR
Nebraska(3/19/2020)
RR
Nevada(3/28/2019)
RR
New Hampshire(3/28/2019)
RR
New Jersey(1/7/2016)
RR
New Mexico(10/25/2021)
RR
New York(12/17/2013)
RR
North Carolina(1/8/2016)
RR
North Dakota(10/14/2021)
RR
Ohio(1/6/2016)
RR
Oklahoma(8/28/2019)
RR
Oregon(3/28/2019)
RR
Pennsylvania(3/28/2019)
RR
Rhode Island(3/28/2019)
RR
South Carolina(1/7/2016)
RR
South Dakota(8/28/2019)
RR
Texas(1/8/2016)
RR
Utah(3/28/2019)
RR
Vermont(3/9/2020)
RR
Virginia(3/28/2019)
RR
Washington(3/28/2019)
RR
West Virginia(3/25/2020)
RR
Wisconsin(1/7/2016)
RR
Wyoming(10/15/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CAVU SECURITIES LLC
CAVU SECURITIES LLC | POINT CAPITAL MARKETS, LLC | POINT CAPITAL MARKETS, INC. | JOHN M. CUNNINGHAM INC. | JOHN M, CUNNINGHAM, INC
CRD#: 6906 / SEC#: , 8-18428
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
777 Third Avenue Suite 2102, New York, NY 10017
Mailing Address
777 Third Avenue Suite 2102, New York, NY 10017
Phone number
(212) 916-3840
Established
Delaware since 08/02/2010
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
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.
