Stephen R. 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.
Stephen Ryan Patterson was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2004. Stephen had worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, Series 3, SIE, Series 7, Series 6 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
May 17, 2022 - July 25, 2025
TRADESTATION SECURITIES, INC.
February 14, 2022 - May 8, 2022
RAYMOND JAMES & ASSOCIATES, INC.
February 14, 2022 - May 8, 2022
RAYMOND JAMES & ASSOCIATES, INC.
October 11, 2016 - April 6, 2021
DEUTSCHE BANK SECURITIES INC.
October 10, 2016 - April 6, 2021
DEUTSCHE BANK SECURITIES INC.
April 30, 2015 - May 20, 2016
CURIAN CAPITAL, LLC
April 28, 2015 - May 20, 2016
CURIAN CLEARING, LLC
April 28, 2014 - April 27, 2015
EQUITABLE ADVISORS, LLC
April 23, 2014 - April 27, 2015
EQUITABLE ADVISORS, LLC
July 10, 2006 - April 3, 2014
OSAIC SERVICES, INC.
October 31, 2005 - April 3, 2014
OSAIC SERVICES, INC.
October 12, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
July 7, 2004 - September 22, 2004
WOODBURY FINANCIAL SERVICES, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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