Truman A. 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.
Truman Andrew Patterson, who also goes by Truman A Patterson, was a registered financial professional .
Truman is a previously registered financial professional and started their career in finance in 2010. Truman had worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 87, Series 86, Series 7, Series 3 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
March 9, 2021 - September 13, 2024
WOLFE RESEARCH SECURITIES
June 8, 2016 - January 7, 2021
WELLS FARGO SECURITIES, LLC
December 22, 2015 - June 21, 2016
EVERCORE GROUP L.L.C.
February 15, 2012 - December 31, 2015
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
September 19, 2010 - January 31, 2012
TICONDEROGA SECURITIES LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WOLFE RESEARCH SECURITIES
CRD#: 151850 / SEC#: , 8-68406
Contact information
FINRA licenses (48 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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