Charles G. Patton

FIRST SIGMA CAPITAL LLC

Hacienda Heights, CA

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CRD#: 5425575

Professional summary

Charles George Patton is a registered financial advisor currently at FIRST SIGMA CAPITAL LLC located in Hacienda Heights, California.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Charles has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Mr. Patton is not engaged in any business other than Patton Investment Management LLC. However, Patton Investment Management LLC is also engaged in business as a Commodity Trading Advisor and is exempt from registration. CTA services are only offered to current securities clients to better serve their investment goals. As such, no separate title, duties, or hours are required of Mr. Patton.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles George Patton'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®

None

Experience

Current

August 26, 2015 - Present

FIRST SIGMA CAPITAL LLC

RIA

CRD#: 173642

Hacienda Heights, CA

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.

Highlighted states indicate IAR registrations

IAR

California
(6/30/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/27/2014

Uniform Investment Adviser Law Examination

Current Firm

FIRST SIGMA CAPITAL LLC

FIRST SIGMA CAPITAL LLC | PATTON INVESTMENT MANAGEMENT LLC

CRD#: 173642 / SEC#:

California

Registered Investment Advisory firm - (6/30/2016 Approved)

New York

Registered Investment Advisory firm - (12/11/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (7/11/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Irvine, CA

Mailing Address

Phone number

+1 (646) 335-6431

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 6,043,233

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.

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Charles G. Patton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles George Patton's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST SIGMA CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/27/2014

Current Firm

FIRST SIGMA CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FIRST SIGMA CAPITAL LLC

TRUST BUT VERIFY

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