John L. Patten
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.
John Lewis Patten was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1975. John had worked at 5 firms and has passed the Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 1980 - May 11, 1988
PATTEN SECURITIES CORP.
November 2, 1978 - March 14, 1984
S. B. CANTOR & CO., INC.
September 13, 1978 - July 23, 1980
A. L. WILLIAMSON & COMPANY
November 4, 1976 - November 3, 1978
B-R SECURITIES CORP.
March 20, 1975 - November 14, 1976
PHILIPS, APPEL & WALDEN, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PATTEN SECURITIES CORP.
CRD#: 8210 / SEC#: , 8-24646
Contact information
Documents
Red Flags
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