Deni L. Patton
Professional summary
Deni Lynn Patton is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Salinas, California and CETERA ADVISORS LLC located in Salinas, California.
Deni is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Deni has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Deni Lynn Patton's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 30 E San Joaquin Suite 107, Salinas, CA 93901January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 30 E San Joaquin Suite 107, Salinas, CA 93901January 1, 2004 - March 21, 2024
CETERA ADVISORS LLC
July 8, 1997 - January 1, 2004
IFG ADVISORY SERVICES INC
December 17, 1992 - January 2, 2004
IFG NETWORK SECURITIES, INC.
August 11, 1987 - December 31, 1992
PLANNED INVESTMENTS INC.
October 25, 1984 - July 6, 1987
UBS FINANCIAL SERVICES INC.
September 23, 1983 - May 29, 1986
TY EBRIGHT & ASSOCIATES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/6/2017)
(1/25/2022)
(1/1/2004)
(3/21/2024)
(1/1/2004)
(4/17/2015)
(1/1/2004)
(1/8/2016)
(9/21/2022)
(10/26/2023)
(3/4/2019)
(1/5/2010)
(2/25/2019)
(3/21/2024)
(1/4/2005)
(8/27/2007)
(1/1/2004)
(10/25/2023)
(1/5/2009)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Salinas, CA 93901TRUST BUT VERIFY
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