Deirdre M. Patten

CHAFFE SECURITIES

NEW ORLEANS, LA 70170-1410

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CRD#: 1357509

Professional summary

Deirdre Marian Patten, who also goes by Deirdre Patten Kowalski, Deirdre M. Patten, is a registered financial professional currently at CHAFFE SECURITIES, INC. located in New Orleans, Louisiana and CLARION PARTNERS SECURITIES, LLC located in New York, New York.

Deirdre is registered as a RR (Registered Representative) and started their career in finance in 1985. Deirdre has worked at 38 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 79, Series 7, Series 6, Series 14, Series 53, Series 4, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Deirdre Patten Kowalski | Deirdre M. Patten

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Deirdre Marian Patten's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 2, 2015 - Present

CHAFFE SECURITIES, INC.

Office #1: 201 St. Charles Avenue Suite 1410, New Orleans, LA 70170-1410

CRD#: 152172

NEW ORLEANS, LA

Current

May 17, 2017 - Present

CLARION PARTNERS SECURITIES, LLC

Office #1: One Madison Avenue 14th Floor, New York, NY 10010

CRD#: 166384

New York, NY

Current

November 30, 2017 - Present

RUBICON CAPITAL ADVISORS

Office #1: 8111 Ashlane Way Suite 207, Spring, TX 77382

CRD#: 283566

Spring, TX

Current

October 10, 2018 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 45 Rockefeller Plaza Floor 5, New York, NY 10111

RIA

CRD#: 291361

New York, NY

Current

April 13, 2022 - Present

OPPORTUNE PARTNERS LLC

Office #1: 711 Louisiana Street Suite 3100, Houston, TX 77002Office #2: 711 Louisiana Street Suite 3100, Houston, TX 77002

CRD#: 293414

Houston, TX

Current

February 3, 2025 - Present

ALL OPTIONS USA, LLC

Office #1: 114 W 7th St Suite 1200, Austin, TX 78701

CRD#: 324086

Austin, TX

Current

May 9, 2025 - Present

ASPIDA FINANCIAL DISTRIBUTORS, LLC

Office #1: 8111 Ashlane Way Suite 207, Spring, TX 77382

CRD#: 322843

SPRING, TX

Current

July 29, 2025 - Present

LOCKTON INVESTMENT SECURITIES, LLC

Office #1: 444 W. 47th Street Suite 900, Kansas City, MO 64112

CRD#: 137476

Kansas City, MO

Past

February 6, 2024 - July 5, 2024

GLOBAL PACIFIC SECURITIES US, INC.

CRD#: 304566

NEW YORK, NY

Past

January 30, 2024 - November 11, 2024

WESTCAP MARKETS, LLC

CRD#: 318970

RYE BEACH, NH

Past

August 1, 2023 - March 28, 2024

REDBRIDGE GLOBAL MARKETS, LLC

CRD#: 319550

HOUSTON, TX

Past

July 25, 2023 - September 1, 2023

LOCKTON RE CAPITAL MARKETS, LLC

CRD#: 323110

NEW YORK, NY

Past

July 21, 2022 - October 9, 2023

TCM BD, LLC

CRD#: 317259

The Woodlands, TX

Past

January 2, 2020 - May 5, 2021

LIQUIDLY IAS, LLC

CRD#: 299963

THE WOODLANDS, TX

Past

December 20, 2019 - November 22, 2022

AEL FINANCIAL SERVICES, LLC

CRD#: 300285

Charlotte, NC

Past

November 29, 2018 - January 8, 2019

MIRABELLA US, LLC

CRD#: 285439

SAN FRANCISCO, CA

Past

October 5, 2018 - April 3, 2019

STILLPOINT CAPITAL, LLC

CRD#: 133146

TAMPA, FL

Past

September 5, 2018 - September 3, 2025

LINDEN THOMAS AND COMPANY SECURITIES, LLC

CRD#: 290244

CHARLOTTE, NC

Past

September 28, 2017 - March 31, 2022

EIGHT PINES SECURITIES LLC

CRD#: 153794

HOUSTON, TX

Past

September 22, 2017 - September 28, 2017

EIGHT PINES SECURITIES LLC

CRD#: 153794

HOUSTON, TX

Past

February 8, 2016 - November 1, 2018

VERIT ADVISORS CAPITAL MARKETS LLC

CRD#: 170833

CHICAGO, IL

Past

December 15, 2015 - February 29, 2016

OAKBRIDGE FINANCIAL SERVICES

CRD#: 16323

KIRKWOOD, MO

Past

September 16, 2015 - September 20, 2018

SIKICH CORPORATE FINANCE LLC

CRD#: 149024

NAPERVILLE, IL

Past

April 21, 2015 - January 20, 2022

LOCKTON INVESTMENT SECURITIES, LLC

CRD#: 137476

KANSAS CITY, MO

Past

November 18, 2013 - July 1, 2015

MIP GLOBAL, INC.

CRD#: 164640

SAN JUAN, PR

Past

August 16, 2013 - March 3, 2016

VESTECH SECURITIES, INC.

CRD#: 41409

ST. LOUIS, MO

Past

April 10, 2012 - February 10, 2020

ORACLE CAPITAL SECURITIES, LLC

CRD#: 145868

TUCSON, AZ

Past

January 23, 2012 - August 3, 2018

STILLPOINT CAPITAL, LLC

CRD#: 133146

TAMPA, FL

Past

December 16, 2011 - September 26, 2014

ENERGY HUNTER SECURITIES, INC.

CRD#: 131510

HOUSTON, TX

Past

July 6, 2011 - August 28, 2017

BIC DISTRIBUTORS, LLC

CRD#: 152860

PHOENIX, AZ

Past

July 8, 2010 - August 23, 2010

BIC DISTRIBUTORS, LLC

CRD#: 152860

PHOENIX, AZ

Past

May 18, 2010 - August 23, 2010

GCP SECURITIES, INC.

CRD#: 30902

HOUSTON, TX

Past

December 16, 2009 - August 23, 2010

PRIORITY CAPITAL INVESTMENTS, LLC

CRD#: 150215

MAGNOLIA, TX

Past

March 9, 2009 - August 18, 2010

WM. H. MURPHY & CO., INC.

CRD#: 27274

HOUSTON, TX

Past

March 15, 1996 - August 22, 2003

RIVERSTONE WEALTH MANAGEMENT, INC.

CRD#: 40418

AUSTIN, TX

Past

May 16, 1995 - March 27, 1996

BLUEBONNET SECURITIES, INC.

CRD#: 15957

Past

December 5, 1991 - June 14, 1995

DALLAS RESEARCH & TRADING, INC.

CRD#: 28806

DALLAS, TX

Past

April 22, 1989 - December 20, 1989

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

Past

January 6, 1989 - February 15, 1989

ADAMS SECURITIES, INC.

CRD#: 16688

Past

August 1, 1988 - June 9, 1989

INDEPENDENT INVESTMENT BROKERS OF AMERICA

CRD#: 20635

Past

June 9, 1987 - March 29, 1988

SWINK & COMPANY, INC.

CRD#: 7111

Past

May 3, 1985 - October 2, 1985

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/17/2019)

Louisiana
(1/2/2015)

Missouri
(7/29/2025)

New York
(5/17/2017)

North Carolina
(9/25/2025)

Texas
(1/2/2015)

Exams

State Security Law Exam

Series 63

Date: 6/22/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 9/13/2017

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 5/12/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/1/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 12/23/2009

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 11/10/2009

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/2009

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 3/6/2009

Financial and Operations Principal Examination

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

Current Firm

LOCKTON INVESTMENT SECURITIES, LLC

LOCKTON FINANCIAL ADVISORS, LLC | LOCKTON INVESTMENT SECURITIES, LLC | LOCKTON INVESTMENT SECURITIES SERVICES, LLC

CRD#: 137476 / SEC#: , 8-67090

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

444 W. 47th Street Suite 900, Kansas City, MO 64112

Mailing Address

444 W. 47th Street Suite 900, Kansas City, MO 64112

Phone number

(816) 960-9000

Established

Missouri since 05/01/2016

Firm type

Limited Liability Company

Fiscal year end

April

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LOCKTON INSURANCE AGENCY, LLC DBA LOCKTON COMPANIES	CORPORATE UNIT HOLDER
CLARK, SUZETTE MICHELLE	PRESIDENT	3153620
HAYES, SUSAN ANN	FINOP, CFO	2856326
LOCKTON MANAGEMENT, LLC	MANAGER
PATTEN, DEIRDRE MARIAN	CCO	1357509

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Deirdre M. Patten

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Deirdre Marian Patten's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLARION PARTNERS SECURITIES, LLC

RUBICON CAPITAL ADVISORS

ROCKEFELLER FINANCIAL LLC

OPPORTUNE PARTNERS LLC

ALL OPTIONS USA, LLC

ASPIDA FINANCIAL DISTRIBUTORS, LLC

LOCKTON INVESTMENT SECURITIES, LLC

GLOBAL PACIFIC SECURITIES US, INC.

WESTCAP MARKETS, LLC

REDBRIDGE GLOBAL MARKETS, LLC

LOCKTON RE CAPITAL MARKETS, LLC

TCM BD, LLC

LIQUIDLY IAS, LLC

AEL FINANCIAL SERVICES, LLC

MIRABELLA US, LLC

STILLPOINT CAPITAL, LLC

LINDEN THOMAS AND COMPANY SECURITIES, LLC

EIGHT PINES SECURITIES LLC

EIGHT PINES SECURITIES LLC

VERIT ADVISORS CAPITAL MARKETS LLC

OAKBRIDGE FINANCIAL SERVICES

SIKICH CORPORATE FINANCE LLC

LOCKTON INVESTMENT SECURITIES, LLC

MIP GLOBAL, INC.

VESTECH SECURITIES, INC.

ORACLE CAPITAL SECURITIES, LLC

STILLPOINT CAPITAL, LLC

ENERGY HUNTER SECURITIES, INC.

BIC DISTRIBUTORS, LLC

BIC DISTRIBUTORS, LLC

GCP SECURITIES, INC.

PRIORITY CAPITAL INVESTMENTS, LLC

WM. H. MURPHY & CO., INC.

RIVERSTONE WEALTH MANAGEMENT, INC.

BLUEBONNET SECURITIES, INC.

DALLAS RESEARCH & TRADING, INC.

DICKINSON & CO.

ADAMS SECURITIES, INC.

INDEPENDENT INVESTMENT BROKERS OF AMERICA

SWINK & COMPANY, INC.

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/22/2009

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 79

Date: 9/13/2017

Series 7

Date: 5/12/2009

Series 6

Date: 5/1/1985

Series 14

Date: 1/2/2023

Series 53

Date: 12/23/2009

Series 4

Date: 11/10/2009

Series 24

Date: 5/18/2009

Series 27

Date: 3/6/2009