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Ross James Patten

Piper Sandler & Co.

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About Ross James Patten

Ross Patten is a financial professional with over 24 years of experience in the securities industry. Ross is currently registered with Piper Sandler & Co. Ross has a diverse background, having previously worked at Robertson Stephens, Inc. and Paine Webber Incorporated. Ross holds multiple securities licenses, including Series 7, Series 55, Series 57TO and SIE. Ross is registered with the state of New York and 24 other states, including California, Florida, Illinois, Massachusetts, and Texas.

Firm Information

Ross Patten is currently registered with Piper Sandler & Co.. Piper Sandler & Co. is a corporation headquartered in Minneapolis, Minnesota, that was formed on July 28, 1969. The firm provides analytical reports and public finance consulting program services, and manages portfolios for businesses. The firm has a total of 1,359 registered representatives and 24 investment adviser representatives, and manages approximately $1 billion to $10 billion in assets.
Piper Sandler & Co.

800 NICOLLET MALL

MINNEAPOLIS, MN 55402-7020

$1.58B

Assets Under Management

21

Total Clients

809

Total Financial Advisors

Services Offered

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.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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analytical reports/public finance consulting program

Analytical reports/public finance consulting program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Ross Patten’s Registration & Firm History

NY

07/26/2002 - Present

Piper Sandler & Co. (NEW YORK NY)

CA

02/28/2000 - 07/30/2002

ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)

NJ

11/03/1998 - 03/08/2000

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

03/23/1998 - 09/18/1998

DOUGLAS & CO. MUNICIPALS, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/09/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/12/2007

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 02/16/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 2 public disclosures for Ross James Patten. Review regulatory record here.
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