Chester A. Patterson
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.
Chester Arthur Patterson III, who also goes by Buzz Patterson, Chester Arthur Patterson, Chester M Patterson, was a registered financial professional .
Chester is a previously registered financial professional and started their career in finance in 1976. Chester had worked at 10 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2012 - January 28, 2014
SOURCE CAPITAL GROUP, INC.
December 12, 2005 - July 27, 2011
GILFORD SECURITIES INCORPORATED
March 9, 2002 - January 6, 2006
RBC CAPITAL MARKETS, LLC
October 25, 2000 - March 9, 2002
TUCKER ANTHONY INCORPORATED
August 10, 2000 - August 28, 2000
JOSEPHTHAL & CO., INC.
August 23, 1995 - August 22, 2000
A. G. EDWARDS & SONS, INC.
December 18, 1984 - August 25, 1995
MORGAN STANLEY DW INC.
October 1, 1976 - November 30, 1984
AMERICAN EXPRESS FINANCIAL CORPORATION
October 1, 1976 - November 30, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
October 1, 1976 - November 30, 1984
IDS LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 9/23/1976
Registered Representative ExaminationCurrent Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
