CP
Casey D. Paton
SVB WEALTH
Boston, MA 02109
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CRD#: 5382194
CP
Professional summary
Casey Daniel Paton, who also goes by Casey Paton, is a registered financial advisor currently at SVB WEALTH located in Boston, Massachusetts and FIRST CITIZENS INVESTOR SERVICES, INC. located in Boston, Massachusetts.
Casey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Casey has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Casey Paton
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.
I*132388 For profit or not for profit: For-Profit Organization Name of outside business organization: Encore Apparel Company, LLC Investment related: N Address of business: Lynnfield, Massachusetts 01940 Nature of business: LLC Position, title, association: Owner, Start date of relationship: 1/1/2014 Number of hours devoted: 25 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: This is a business enterprise I started that sells t-shirts and other apparel items. The business is run primarily as an online company. There is no financial/investment advising component to this business. Ukulele Kids Club - Board of Directors; Started June 15 2021; Development Committee that brainstorms ideas to grow the mission of UKC; not business related. Dually registered with affiliated firm SVB Wealth LLC. Relationship Manager; Provides investment advisory services to clients. Full time employee.
CRS (Client Relationship Summary) - RIA
Click below to view Casey Daniel Paton'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
February 23, 2022 - Present
SVB WEALTH
Office #1: 53 State St. Floor 28, Boston, MA 02109RIA
CRD#: 172832
Boston, MA
Current
December 13, 2023 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 53 State St 28th Floor, Boston, MA 02109RIA
BD
CRD#: 44430
Boston, MA
Past
September 13, 2021 - July 29, 2022
SVB INVESTMENT SERVICES INC.
RIA
CRD#: 168116
Newton, MA
Past
September 13, 2021 - December 31, 2023
SVB INVESTMENT SERVICES INC.
BD
CRD#: 168116
Newton, MA
Past
July 28, 2020 - August 31, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ANDOVER, MA
Past
July 27, 2020 - August 31, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ANDOVER, MA
Past
July 3, 2019 - March 13, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
Woburn, MA
Past
July 30, 2007 - November 8, 2013
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
Registered Investment Advisory firm - (10/2/2014 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
IAR
Connecticut(2/23/2022)
IAR
Georgia(2/24/2022)
IAR
Illinois(5/22/2024)
IAR
Maine(5/22/2024)
IAR
Massachusetts(3/8/2022)
RR
Massachusetts(1/1/2024)
IAR
New York(2/23/2022)
IAR
Texas(5/22/2024)
IAR
Vermont(5/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/3/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/20/2008
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
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Contact information
Main Address
53 State Street 28th Floor, Boston, MA 02109
Mailing Address
Po Box 27131, Raleigh, NC 27611
Phone number
(617) 223-0200
Established
Firm type
Fiscal year end
# of Employees
85
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 | ||
| 10/31/2022 |
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.
Company Information
SVB WEALTH
CRD#: 172832Boston, MA 02109TRUST BUT VERIFY
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