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STEPHEN JAMES PATTERSON JR
STEPHEN JAMES PATTERSON
CRD#: 1334801
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 3027 TOWNSGATE RD
STE 200
WESTLAKE VILLAGE, CA 91361-5863
Registration History
1985199019952000200520102015202020252 FIRMS2004 - 2009 (4 years)2 FIRMS2009 - 2013 (4 years)2 FIRMS2013 - 2013 (<1 year)2 FIRMS2013 - 2015 (1 year)2 FIRMS2015 - 2023 (8 years)2 FIRMS2023 - Present (1 year)BWM FINANCIAL SERVICES, INC. (CRD# 599)1999 - 2004 (5 years)BGRIFFIN FINANCIAL SERVICES (CRD# 10823)1998 - 1999 (<1 year)BFIMCO SECURITIES GROUP, INC. (CRD# 30343)1997 - 1998 (<1 year)BUNITED CALIFORNIA SECURITIES, INC. (CRD# 25307)1997 - 1997 (<1 year)BFIRST CAMBRIDGE SECURITIES COR... (CRD# 21846)1996 - 1997 (<1 year)BINTERNATIONAL BUSINESS SECURIT... (CRD# 15121)1996 - 1996 (<1 year)BKENSINGTON SECURITIES, INC. (CRD# 25001)1995 - 1995 (<1 year)BCOLUMBUS FINANCIAL, INC. (CRD# 22709)1994 - 1995 (<1 year)BROBERT TODD FINANCIAL CORP. (CRD# 7423)1994 - 1994 (<1 year)BYAEGER SECURITIES, INC. (CRD# 10118)1993 - 1993 (<1 year)BAGFC INVESTMENT SECURITIES (CRD# 19869)1987 - 1989 (1 year)BTRAFALGAR SECURITIES CORP. (CRD# 15920)1985 - 1987 (2 years)
Disclosure(s)
View By:
5/21/2010
Customer Dispute
Settled
3/27/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 9/15/2023

B
Louisiana 9/18/2023

B
California 9/15/2023

B
New York 9/22/2023

IA
California 9/15/2023

B
Tennessee 9/15/2023

B
Colorado 9/15/2023

B
Texas 9/15/2023

B
Illinois 9/15/2023

IA
Texas 9/15/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
3027 TOWNSGATE RD STE 200, WESTLAKE VILLAGE, CA 91361-5863
Indian Wells, CA
Registered with this firm since 9/15/2023

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
3027 TOWNSGATE RD STE 200, WESTLAKE VILLAGE, CA 91361-5863
Indian Wells, CA
Registered with this firm since 9/15/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/21/2015 - 09/27/2023 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) Indian Wells, CA
B
09/14/2015 - 09/27/2023 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) Indian Wells, CA
IA
11/25/2013 - 09/14/2015 D.A. DAVIDSON & CO. (CRD#:199) WESTLAKE VILLAGE, CA
B
11/25/2013 - 09/14/2015 D.A. DAVIDSON & CO. (CRD#:199) WESTLAKE VILLAGE, CA
IA
11/04/2013 - 11/25/2013 CROWELL WEEDON & CO. (CRD#:168622) WESTLAKE VILLAGE, CA
B
11/04/2013 - 11/25/2013 CROWELL WEEDON & CO. (CRD#:168622) WESTLAKE VILLAGE, CA
IA
05/12/2009 - 11/04/2013 CROWELL, WEEDON & CO. (CRD#:193) WESTLAKE VILLAGE, CA
B
05/08/2009 - 11/04/2013 CROWELL, WEEDON & CO. (CRD#:193) WESTLAKE VILLAGE, CA
IA
07/27/2004 - 05/11/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ENCINO, CA
B
06/04/2004 - 05/11/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ENCINO, CA
B
01/01/1999 - 06/01/2004 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
B
02/20/1998 - 01/01/1999 GRIFFIN FINANCIAL SERVICES (CRD#:10823)
B
10/07/1997 - 03/09/1998 FIMCO SECURITIES GROUP, INC. (CRD#:30343) PORT WASHINGTON, WI
B
05/16/1997 - 10/06/1997 UNITED CALIFORNIA SECURITIES, INC. (CRD#:25307) ENCINO, CA
B
03/18/1996 - 01/31/1997 FIRST CAMBRIDGE SECURITIES CORPORATION (CRD#:21846) NEW YORK, NY
B
01/19/1996 - 03/22/1996 INTERNATIONAL BUSINESS SECURITIES, INC. (CRD#:15121) CULVER CITY, CA
B
06/26/1995 - 12/21/1995 KENSINGTON SECURITIES, INC. (CRD#:25001) ALISO VIEJO, CA
B
10/17/1994 - 06/14/1995 COLUMBUS FINANCIAL, INC. (CRD#:22709) BEVERLY HILLS, CA
B
01/01/1994 - 11/02/1994 ROBERT TODD FINANCIAL CORP. (CRD#:7423) NEW YORK, NY
B
06/04/1993 - 12/02/1993 YAEGER SECURITIES, INC. (CRD#:10118)
B
08/19/1987 - 05/10/1989 AGFC INVESTMENT SECURITIES (CRD#:19869)
B
03/04/1985 - 08/04/1987 TRAFALGAR SECURITIES CORP. (CRD#:15920)
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.