Richard Allen Stocker

Current Employers

Patriot Asset Advisors, Llc

7889 E Broad St Sw, Pataskala, OH 43062 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2018-06-17

OH RA
APPROVED

Since 2018-06-17

Branch Locations

7889 E Broad St Sw, Pataskala, OH 43062 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Cetera Investment Advisers Llc	Patskala	OH	10/2015	05/2018
Patriot Asset Advisors, Llc	Pataskala	OH	06/2018	Present
Summit Brokerage Services	Pataskala	OH	08/2015	05/2018

10/2015 → 05/2018

Cetera Investment Advisers Llc

Patskala, OH
06/2018 → Present

Patriot Asset Advisors, Llc

Pataskala, OH
08/2015 → 05/2018

Summit Brokerage Services

Pataskala, OH

Previous Registrations

2015-10-06 → 2018-05-24

Cetera Investment Advisers Llc

Patskala, OH
2009-08-26 → 2015-11-13

J P Turner & Company Capital Management, Llc

Pataskala, OH
2008-01-01 → 2009-08-03

Wells Fargo Clearing Services, Llc

Columbus, OH
1999-06-02 → 2008-01-01

A. G. Edwards & Sons, Inc.

Columbus, OH

Columbus, OH

St. Louis, MO

Other Businesses

(1) PATRIOT INSURANCE ADVISORS, LLC; INVESTMENT RELATED; PATASKALA, OHIO; INSURANCE SALES; OWNER; START DATE 06/2018; APPROXIMATELY 4 HOURS PER MONTH ALL OF WHICH ARE DURING TRADING HOURS; FIXED LIFE INSURANCE PRODUCTS, FIXED ANNUITIES, HEALTH INSURANCE AND P & C COVERAGE. (2) Licking County Coalition - 105 Jefferson St, Newark OH 46055; Treasurer; Not investment related; 2 hrs a month, none during trading hours.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1995-02-17

S63 Uniform Securities Agent State Law Examination

1995-02-17

Designations

View on SEC IAPD