Kathy R. Patton
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.
Kathy Ruth Patton, who also goes by Kathy Ruth Potts, was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 2002. Kathy had worked at 3 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2002 - November 15, 2002
CAPWEST SECURITIES, INC.
April 12, 2002 - July 26, 2002
WORLD GROUP SECURITIES, INC.
March 12, 2002 - April 12, 2002
WMA SECURITIES, 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
Current Firm
CAPWEST SECURITIES, INC.
CRD#: 30002 / SEC#: , 8-44462
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPSTONE FINANCIAL GROUP, INC. | OWNER | |
| HALL, DALE KEITH | CEO, PRESIDENT, TREASURER, CFO, CCO, COO, DIRECTOR, | 706704 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 9 |
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.
