JP
John W. Patterson
MGI FUNDS DISTRIBUTORS
Norwalk, CT 06855
Some features on this profile are disabled
CRD#: 5870441
JP
Professional summary
John W Patterson, who also goes by John Patterson, is a registered financial professional currently at MGI FUNDS DISTRIBUTORS, LLC located in Norwalk, Connecticut.
John is registered as a RR (Registered Representative) and started their career in finance in 2011. John has worked at 2 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John Patterson
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.
CRS (Client Relationship Summary) - BD
Click below to view John W Patterson'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
December 15, 2022 - Present
MGI FUNDS DISTRIBUTORS, LLC
Office #1: 601 Merritt 7 2nd Floor, Norwalk, CT 06855BD
CRD#: 35682
Norwalk, CT
Past
October 7, 2011 - June 24, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
August 23, 2011 - June 24, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
RR
Alabama(1/17/2023)
RR
Alaska(1/17/2023)
RR
Arizona(1/27/2023)
RR
Arkansas(2/8/2023)
RR
California(1/17/2023)
RR
Colorado(1/18/2023)
RR
Connecticut(1/17/2023)
RR
Delaware(1/30/2023)
RR
District of Columbia(1/19/2023)
RR
Florida(1/17/2023)
RR
Georgia(1/17/2023)
RR
Hawaii(7/12/2023)
RR
Idaho(1/17/2023)
RR
Illinois(1/25/2023)
RR
Indiana(2/6/2023)
RR
Iowa(1/19/2023)
RR
Kansas(1/17/2023)
RR
Kentucky(1/20/2023)
RR
Louisiana(1/18/2023)
RR
Maine(1/20/2023)
RR
Maryland(1/17/2023)
RR
Massachusetts(1/17/2023)
RR
Michigan(1/23/2023)
RR
Minnesota(1/17/2023)
RR
Mississippi(1/17/2023)
RR
Missouri(1/17/2023)
RR
Montana(1/19/2023)
RR
Nebraska(1/24/2023)
RR
Nevada(1/31/2023)
RR
New Hampshire(1/18/2023)
RR
New Jersey(1/20/2023)
RR
New Mexico(1/17/2023)
RR
New York(1/13/2023)
RR
North Carolina(2/2/2023)
RR
North Dakota(1/18/2023)
RR
Ohio(1/17/2023)
RR
Oklahoma(1/18/2023)
RR
Oregon(1/17/2023)
RR
Pennsylvania(1/17/2023)
RR
Puerto Rico(1/30/2023)
RR
Rhode Island(1/19/2023)
RR
South Carolina(1/20/2023)
RR
South Dakota(1/17/2023)
RR
Tennessee(1/17/2023)
RR
Texas(1/16/2023)
RR
Utah(1/24/2023)
RR
Vermont(1/31/2023)
RR
Virginia(1/17/2023)
RR
Washington(1/18/2023)
RR
West Virginia(1/23/2023)
RR
Wisconsin(1/13/2023)
RR
Wyoming(1/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/15/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MF
MGI FUNDS DISTRIBUTORS, LLC
MGI FUNDS DISTRIBUTORS, INC. | OFFIT FUNDS DISTRIBUTOR, INC. | MGI FUNDS DISTRIBUTORS, LLC
CRD#: 35682 / SEC#: , 8-46960
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
