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Jess Victor Patterson

CRD# 4421335·Registered 2002 - 2017
Previously Registered: Being a previously registered professional could mean that Jess 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.

Professional Summary

Jess Victor Patterson was a registered financial advisor. Jess was a previously registered financial professional and started their career in finance 2002 - 2017. Jess had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

24 years in the financial services industry

Current & Past Employments

ARXIS SECURITIES LLC·CRD# 172506
BD
New York, NY
August 1, 2016 - June 13, 2017
LAVAFLOW, INC.·CRD# 120444
BD
New York, NY
April 30, 2010 - June 27, 2012
LAVAFLOW, INC.·CRD# 120444
BD
New York, NY
April 1, 2010 - April 30, 2010
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
Mount Pleasant, SC
March 13, 2009 - August 2, 2016
CITI ORDER ROUTING AND EXECUTION, LLC·CRD# 103768
BD
Mount Pleasant, SC
November 26, 2003 - August 2, 2016
AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC·CRD# 36000
BD
Mount Pleasant, SC
February 28, 2002 - November 8, 2012

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Current Firm

AS
ARXIS SECURITIES LLC

ARXIS SECURITIES LLC

CRD#: 172506 / SEC#: 8-69509
BD
Terminated by SEC on 08/20/2017

Contact Information

Established

Delaware since 07/09/2014

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ARXIS CAPITAL INTERMEDIATE HOLDINGS LLCSOLE MEMBER—
CHI, PATRICK CHANGCHIEF COMPLIANCE OFFICER5634045
JOYCE, THOMAS MICHAELCHIEF EXECUTIVE OFFICER850573
MAYERHOFER, GERARD THOMASCHIEF OPERATIONS OFFICER AND FINOP1354612

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 2002About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jun 2017About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Feb 2002

Series 7 — General Securities Representative Examination

Passed Dec 2001About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 2003About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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