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LP

Lewis T. Patterson

RAINE SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 5963429
LP

Professional summary

Lewis Thomas Patterson III, who also goes by Lewis Thomas Patterson, is a registered financial professional currently at RAINE SECURITIES LLC located in New York, New York.

Lewis is registered as a RR (Registered Representative) and started their career in finance in 2013. Lewis has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lewis Thomas 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lewis Thomas Patterson III's CRS (Customer Relationship Summary).
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

July 27, 2020 - Present

RAINE SECURITIES LLC

Office #1: 65 East 55th Street 24th Floor, New York, NY 10022
BD
CRD#: 137873
New York, NY
Past

April 15, 2014 - August 28, 2018

GSP SECURITIES LLC

BD
CRD#: 146250
NEW YORK, NY
Past

September 26, 2013 - April 4, 2014

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, 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
California
(7/27/2020)
RR
New York
(7/27/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 10/18/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/11/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/28/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/26/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RS
RAINE SECURITIES LLC
MILLBRAE CAPITAL LLC | RAINE SECURITIES LLC | OPHIR CAPITAL LLC

CRD#: 137873 / SEC#: , 8-67121

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
65 East 55th Street 24th Floor, New York, NY 10022
Mailing Address
65 East 55th Street 24th Floor, New York, NY 10022
Phone number
(212) 603-5500
Established
Delaware since 08/23/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RAINE ADVISORS LLCOWNER
CHIANESE, ALFRED JOSEPH IIICHIEF OPERATING OFFICER6339436
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
GARDNER, BRANDON WADEPRESIDENT5767814
RAVITCH, JOSEPHCO-CHIEF EXECUTIVE OFFICER2504532
RISHER, ANGELA RENEECHIEF COMPLIANCE OFFICER6676957
SHAW, ANTHONYFINOP, PRINCIPAL FINANCIAL OFFICER7338445
SINE, JEFFREY ALANCO-CHIEF EXECUTIVE OFFICER1557736

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

RAINE SECURITIES LLC

CRD#: 137873New York, NY 10022

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