SP
Stephen D. Patterson
ALDEN INVESTMENT GROUP
Southlake, TX 76092
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CRD#: 7206447
SP
Professional summary
Stephen Douglas Patterson Jr., who also goes by Stephen Douglas Patterson, Stephen Patterson, is a registered financial advisor currently at ALDEN INVESTMENT GROUP located in Southlake, Texas and J. ALDEN ASSOCIATES, INC. located in Wayne, Pennsylvania.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Stephen has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Douglas Patterson | Stephen 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) - RIA
Click below to view Stephen Douglas Patterson Jr.'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
March 8, 2022 - Present
ALDEN INVESTMENT GROUP
Office #1: 1211 S. Chappel Blvd., Southlake, TX 76092RIA
CRD#: 317077
Southlake, TX
Current
March 1, 2022 - Present
J. ALDEN ASSOCIATES, INC.
Office #1: 37 West Ave Suite 301, Wayne, PA 19087BD
CRD#: 40002
Wayne, PA
Past
September 14, 2020 - July 13, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
PLANO, TX
Past
August 11, 2020 - July 13, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
PLANO, TX
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".
AI
ALDEN INVESTMENT GROUP
ALDEN INVESTMENT ADVISORS | PROTEA WEALTH MANAGEMENT | PATHWAYS RETIREMENT ADVISORS | NORTH PARK | MONUMENTAL INVESTMENTS | HALLTHORN ADVISORY SERVICES | GIPSON - FITZPATRICK INVESTMENT MANAGEMENT | COVE WEALTH PARTNERS | COURSEMARK | ALDEN INVESTMENT GROUP | ALDEN INVESTMENT ADVISORS, LLC
CRD#: 317077 / SEC#: 801-122688
RIA
Registered Investment Advisory firm - (11/12/2021 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.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(6/21/2022)
RR
Alaska(6/21/2022)
RR
Arizona(6/21/2022)
RR
Arkansas(9/28/2022)
RR
California(6/21/2022)
RR
Colorado(6/21/2022)
RR
Connecticut(9/28/2022)
RR
Delaware(9/28/2022)
RR
District of Columbia(9/28/2022)
RR
Florida(6/21/2022)
RR
Georgia(6/21/2022)
RR
Hawaii(9/28/2022)
RR
Idaho(6/21/2022)
RR
Illinois(9/28/2022)
RR
Indiana(6/21/2022)
RR
Iowa(9/28/2022)
RR
Kansas(9/28/2022)
RR
Kentucky(6/21/2022)
RR
Louisiana(6/21/2022)
RR
Maine(6/21/2022)
RR
Maryland(6/21/2022)
RR
Massachusetts(9/28/2022)
RR
Michigan(6/21/2022)
RR
Minnesota(9/28/2022)
RR
Mississippi(9/28/2022)
RR
Missouri(9/28/2022)
RR
Montana(9/28/2022)
RR
Nebraska(7/7/2022)
RR
Nevada(6/21/2022)
RR
New Hampshire(9/28/2022)
RR
New Jersey(6/21/2022)
RR
New Mexico(6/21/2022)
RR
New York(6/21/2022)
RR
North Carolina(6/6/2022)
RR
North Dakota(9/28/2022)
RR
Ohio(6/21/2022)
RR
Oklahoma(6/21/2022)
RR
Oregon(9/28/2022)
RR
Pennsylvania(3/1/2022)
IAR
Pennsylvania(3/8/2022)
RR
Puerto Rico(9/28/2022)
RR
Rhode Island(9/28/2022)
RR
South Carolina(6/21/2022)
RR
South Dakota(9/28/2022)
RR
Texas(6/21/2022)
RR
Utah(6/21/2022)
RR
Vermont(9/28/2022)
RR
Virgin Islands(9/28/2022)
RR
Virginia(6/21/2022)
RR
Washington(6/21/2022)
RR
West Virginia(9/28/2022)
RR
Wisconsin(9/28/2022)
RR
Wyoming(9/28/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/11/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ALDEN INVESTMENT GROUP
ALDEN INVESTMENT ADVISORS | PROTEA WEALTH MANAGEMENT | PATHWAYS RETIREMENT ADVISORS | NORTH PARK | MONUMENTAL INVESTMENTS | HALLTHORN ADVISORY SERVICES | GIPSON - FITZPATRICK INVESTMENT MANAGEMENT | COVE WEALTH PARTNERS | COURSEMARK | ALDEN INVESTMENT GROUP | ALDEN INVESTMENT ADVISORS, LLC
CRD#: 317077 / SEC#: 801-122688
RIA
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Contact information
Main Address
37 West Avenue Suite 301, Wayne, PA 19087-3226
Mailing Address
Phone number
(215) 572-8700
Established
Firm type
Fiscal year end
# of Employees
45
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 978 |
| AUM (Assets Under Management) | $ 319,233,679 |
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.
