Ross A. Patterson
STERLING INVESTMENT MANAGEMENT | Wealth Manager and Research Analyst
Tucson, AZ 85718
Some features on this profile are disabled
CRD#: 6231877
Professional summary
Ross Alexander Patterson is a registered financial advisor currently at STERLING INVESTMENT MANAGEMENT, LLC located in Tucson, Arizona.
Ross is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Ross has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
Ross is responsible for Sterling Investment Management’s proprietary financial planning and wealth management services. In this capacity, he creates a wide assortment of dynamic reports that assist clients in their long-term planning and investment activities. Ross also assists with the firm’s research processes and securities trading functions.
Ross has over ten years experience in the investment management industry predominately working with individual and corporate clients. He is a member of Sterling’s Investment Policy Committee. Ross graduated from Northern Arizona University with a Bachelor of Science Degree in Math/Statistics.
Ross obtained his Certified Financial Planner™ (CFP®️) certification and Chartered Financial Consultant (ChFC®️) in 2024 and is a member of the Financial Planning Association (FPA).
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Ross Alexander 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
June 22, 2021 - Present
STERLING INVESTMENT MANAGEMENT, LLC
Office #1: 6262 North Swan Rd. Suite 210, Tucson, AZ 85718RIA
CRD#: 112923
Tucson, AZ
Past
August 2, 2017 - March 16, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
TUCSON, AZ
Past
November 26, 2016 - March 16, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
TUCSON, AZ
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".
SI
STERLING INVESTMENT MANAGEMENT, LLC
STERLING INVESTMENT MANAGEMENT, INC. | STERLING INVESTMENT MANAGEMENT, LLC
CRD#: 112923 / SEC#: 801-50373
RIA
Registered Investment Advisory firm - (10/16/1995 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.Highlighted states indicate IAR registrations
IAR
Arizona(8/9/2021)
IAR
California(6/22/2021)
IAR
Colorado(8/9/2021)
IAR
Oklahoma(8/9/2021)
IAR
Texas(6/24/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SI
STERLING INVESTMENT MANAGEMENT, LLC
STERLING INVESTMENT MANAGEMENT, INC. | STERLING INVESTMENT MANAGEMENT, LLC
CRD#: 112923 / SEC#: 801-50373
RIA
Registered Investment Advisory firm - (10/16/1995 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
6262 North Swan Rd. Suite 210, Tucson, AZ 85718
Mailing Address
Phone number
(520) 293-3311
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 153 |
| AUM (Assets Under Management) | $ 360,529,500 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 01/26/2024 | ||
| 03/10/2023 | ||
| 04/08/2022 |
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
STERLING INVESTMENT MANAGEMENT, LLC
Wealth Manager and Research AnalystCRD#: 112923Tucson, AZ 85718TRUST BUT VERIFY
Monitor Ross Patterson
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
