Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rick? Claim Your ProfileRick Paterson is a financial professional with over 20 years of experience in the industry. Rick is currently registered with Loop Capital Markets LLC and is located in NEW YORK, NY. Prior to joining Loop Capital Markets LLC, Rick was employed by Topeka Capital Markets Inc. and UBS Securities LLC. Rick is licensed to conduct business in New York. Rick has passed several securities exams including the Series 63, Series 87, Series 86 and Series 7.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Transition management services/equity research services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
Negotiated fees for research services
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2
NY
06/28/2016 - Present
Loop Capital Markets LLC (NEW YORK NY)
NY
10/14/2015 - 06/03/2016
TOPEKA CAPITAL MARKETS INC. (NEW YORK NY)
NY
05/26/2000 - 04/13/2012
UBS SECURITIES LLC (NEW YORK NY)
BC
Issued 05/21/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/07/2015
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 07/02/2015
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 05/25/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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