JP
Jeffrey S. Patton
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CRD#: 1723363
JP
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey Scott Patton was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1987. Jeffrey had worked at 18 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
1. MONARCH FINANCIAL GROUP LLC. POSITION: Partner/Insurance Agent. NATURE: Insurance sales. INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 01/07/2015 ADDRESS: 2120 Northgate Park Lane, Ste 203, Chattanooga TN 37415, United States DESCRIPTION: Life, Health, Disablility, LTC, Medicare Supplements, and P&C insurance. 2. MONARCH INSURANCE GROUP LLC. POSITION: Board Member. NATURE: Management of insurance agency. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 01/07/2015 ADDRESS: 2120 Northgate Park Lane, Ste 203, Chattanooga TN 37415, United States DESCRIPTION: Partner. 3. MONARCH INSURANCE GROUP, LLC. POSITION: Premium Financing. NATURE: Arranging financing for premiums. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 02/10/2016 ADDRESS: 2120 Northgate Park Lane, Suite 203, Chattanooga TN 37415, United States DESCRIPTION: Providing alternate funding strategies. 4. CHATTOWN PROPERTIES LLC. POSITION: Member. NATURE: Real Estate Development. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 02/08/2018 ADDRESS: 402 Dunsinane Road, Signal Mountain TN 37377, United States DESCRIPTION: LLC member/Registered agent. 5. THE CABINS BY YONAH LLC. POSITION: Member. NATURE: Real Estate Development. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/20/2018 ADDRESS: 675 Mountain Meadows Road, Cleveland GA 30528, United States DESCRIPTION: Developement of real estate in North Georgia. 6. INSIGHT INVESTMENTS AND INSURANCE POSITION: N/A NATURE: We are currently not structured. INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 150 START DATE: 03/02/2020 ADDRESS: 2120 Northgate Park Lane, Suite 203, Chattanooga TN 37415, United States DESCRIPTION: Financial Planning in the investment and insurance industry.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
March 1, 2019 - March 15, 2022
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
CHATTANOOGA, TN
Past
March 1, 2019 - March 15, 2022
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
CHATTANOOGA, TN
Past
January 7, 2015 - March 1, 2019
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
CHATTANOOGA, TN
Past
January 7, 2015 - March 1, 2019
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
CHATTANOOGA, TN
Past
January 26, 2013 - January 7, 2015
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
CHATTANOOGA, TN
Past
January 18, 2013 - January 7, 2015
SSN ADVISORY, INC.
RIA
CRD#: 126090
CHATTANOOGA, TN
Past
October 7, 2009 - March 8, 2011
FIRST TRUST ADVISORS LP
RIA
CRD#: 107027
SIGNAL MTN, TN
Past
June 2, 2008 - March 8, 2011
FIRST TRUST PORTFOLIOS L.P.
BD
CRD#: 28519
WHEATON, IL
Past
August 25, 2006 - December 7, 2007
FIRST HORIZON ADVISORS, INC.
RIA
CRD#: 17117
CHATTANOOGA, TN
Past
August 25, 2006 - December 7, 2007
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
CHATTANOOGA, TN
Past
July 6, 2005 - July 31, 2006
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
CHATTANOOGA, TN
Past
June 17, 2005 - July 31, 2006
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
CHATTANOOGA, TN
Past
April 1, 2004 - June 22, 2005
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
CHATTANOOGA, TN
Past
March 19, 2004 - June 22, 2005
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
July 2, 2002 - January 27, 2003
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
Past
September 12, 2000 - June 15, 2001
SOUTHTRUST SECURITIES, LLC
BD
CRD#: 17922
BIRMINGHAM, AL
Past
March 9, 1999 - September 20, 2000
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
Past
May 5, 1998 - December 31, 1998
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
PETALUMA, CA
Past
August 26, 1994 - October 9, 1997
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
August 26, 1994 - October 9, 1997
AMERICAN UNITED LIFE INSURANCE COMPANY
BD
CRD#: 1075
INDIANAPOLIS, IN
Past
September 25, 1987 - August 4, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
September 25, 1987 - August 4, 1994
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/1/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 3/1/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WOODBURY FINANCIAL SERVICES, INC.
0 | OPTIMIZE WEALTH STRATEGIES | ON TRACK FINANCIAL | OMADA FINANCIAL | OGLE WEALTH MANAGEMENT | OAK BROOK WEALTH MANAGEMENT | O'MALLEY WEALTH MANAGEMENT | NPB FINANCIAL | NORTHSTAR FINANCIAL SERVICES | NORTHPOINT FINANCIAL GROUP | NORTHEAST VALLEY FINANCIAL | NICOLAS JOHN FINANCIAL | NEXT PHASE FINANCIAL | NEW THOUGHT FINANCIAL GROUP | NCN FINANCIAL GROUP | NATIONAL WEALTH NETWORK | NATIONAL FINANCIAL ADVISORS | MY FINANCIAL TRAINER | MURPHY FINANCIAL SERVICES | MPC ADVISERS | MORGAN ADVISOR GROUP | MONTALBO FINANCIAL SERVICES | MONEY WISE PLANNING GROUP | MINKOFF CAPITAL | MINDFUL WEALTH ADVISORS | MENDHAM WEALTH MANAGEMENT | MENDAM WEALTH MANAGEMENT | MARTING FINANCIAL | MARTIN TAX & FINANCIAL SERVICES | MARTIN SHAPIRO FINANCIAL SERVICES | MARK SCHLAFER & CO. | MARATHON WEALTH & PROTECTION STRATEGIES | MACY WEALTH MANAGEMENT | LUNIN-PACK & FERRO FINANCIAL GROUP | LOVELACE AND HULLUM FINANCIAL GROUP | LOOKING GLASS FINANCIAL | LIQD INVESTMENTS | LIQD | LINDBERG FINANCIAL GROUP | LINDBERG FINANCIAL | LIFEWEALTH PRINCIPLES, LLC | LIFEWEALTH PLANNING GROUP | LENIUS FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY RETIREMENT PLAN SERVICES | LEGACY PREMIER ADVISORS | LEGACY PLANNING GROUP | LEGACY INVESTMENT SERVICES INC. | LEGACY INVESTMENT SERVICES | LAWRENCE E. EMMONS, CLU, CHFC, INVESTMENT ADVISORREPRESENTATIVE | LARSON FINANCIAL ADVISORS | KNOX FINANCIAL ADVISING | KHS WEALTH AND INSURANCE SERVICES | KELLER WEALTH | KAS INVESTMENT SERICES, INC. | K AND L PLANNING LLC | JONES INVESTMENT GROUP | INVESTMENT COMPONENT | INTEGRITY WEALTH SERVICES | INTEGRITY FIRST FINANCIAL | INCOME ADVISOR TEAM | HUTTON WEALTH MANAGEMENT | HUBER FINANCIAL GROUP | HIBBARD & RUBY WEALTH MANAGEMENT | HERSHEY INVESTMENTS | HEIKE WEALTH MANAGEMENT | HEDRICK WEALTH MANAGEMENT GROUP | HAVEN POINT WEALTH | HART FINANCIAL GROUP | HANNES FINANCIAL SERVICES | HADLEY FINANCIAL | GUIDED PATH FINANCIAL SERVICES & RETIREMENT PLANNING | GUIDANCE ADVISORS | GRIFFIN FINANCIAL LLC | GREYSTONE CAPITAL PARTNERS GROUP | GHJ FINANCIAL GROUP | GCG ADVISORY PARTNERS | GATEWAY CAPTIAL ADIVSORS | FPG PRIVATE WEALTH ADVISORS | FORTIS INVESTORS, INC. | FOCUS INVESTMENT SERVICES | FIRST MATE FINANCIAL ADVISORS | FINANCIAL PLANNING AND WEALTH MANAGEMENT | FINANCIAL PARTNERS GROUP | FINANCIAL DESIGN CENTER | FERDINANDSEN FINANCIAL GROUP | FERD GARCIA WEALTH MANAGEMENT | FELICIANO FINANCIAL GROUP | FAIRLEY WEALTH MANAGEMENT | EXPEDITION WEALTH MANAGEMENT | ETHOS WEALTH PLANNING | ETERNAL WEALTH MANAGEMENT | ERICKSON FINANCIAL ADVISORS | ENVISION RETIREMENT MANAGEMENT | ENGAGE FINANCIAL GROUP | EMPLOYER 401(K) SOLUTIONS | ELEKTRON WEALTH MANAGEMENT | DRESSLER FINANCIAL SERVICES | DOUGHTY FINANCIAL GROUP | DOTY FINANCIAL SOLUTIONS | DEMERY WEALTH ADVISORS | DECISION CAPITAL | DEAN FINANCIAL PLANNING SOLUTIONS | D&L FINANCIAL ADVISORS | CUI WEALTH MANAGEMENT | CUE FINANCIAL OF OKLAHOMA | CROSSBRIDGE WEALTH MANAGEMENT | CROSS FINANCIAL | CROMER FAMILY FINANCIAL | CREATIVE FINANCIAL GROUP | COTTON MILL ADVISORS | CORNERSTONE WEALTH MANAGEMENT | CONSULTANTS IN WEALTH MANAGEMENT | CONKIN FINANCIAL GROUP | COMPREHENSIVE WEALTH SOLUTIONS | COLLABORATIVE WEALTH STRATEGIES | CML WEALTH MANAGEMENT | CLEAR FINANCIAL NETWORK | CLEAR DIRECTION INVESTMENTS | CIRCLE CITY WEALTH ADVISORS | CHRIS RHYNE FINANCIAL MANAGEMENT | CENTERPOINT FINANCIAL SERVICES | CAPITAL HARVEST WEALTH PARTNERS | CALDERWOOD FINANCIAL STRATEGIES | BUNKER FINANCIAL SOLUTIONS | BULLISH BAER | BRUCE GEIGER WFS | BROOKSTONE WEALTH STRATEGIES | BRACKER WEALTH MANAGEMENT | BLUEBIRD WEALTH PARTNERS | BLUE PACIFIC ADVISORS | BETTINGER FINANCIAL | BERNSTEIN FINANCIAL GROUP | BARTHEN FINANCIAL & INSURANCE SERVICES | BARNAS FINANCIAL | AVENTURINE WEALTH MANAGEMENT | ATRIUM WEALTH ADVISORS | ATLAS FINANCIAL PLANNING | AMEV INVESTORS, INC. | AMERICAN FINANCIAL SERVICES | ALPINE PLANNING GROUP | ALPINE FINANCIAL PLANNING GROUP | ALPHA WEALTH ADVISORS, LLC | ALLIANCE FINANCIAL SERVICES INVESTMENT AND RETIREMENT ADVISORS | ALLIANCE FIANNCIAL SERVICES | ALLEN FINANCIAL ADVISEMENT | ADVANCED CAPITAL STRATEGIES | ADVANCE FINANCIAL SERVICES | 3RD COAST FINANCIAL...
CRD#: 421 / SEC#: 801-54905, 8-13846
BD
Terminated by SEC on 03/24/2024
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Contact information
Main Address
7755 3rd Street North, Oakdale, MN 55128
Mailing Address
P.o. Box 64284, St. Paul, MN 55164-0284
Phone number
(800) 800-2638
Established
Minnesota since 03/15/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
3,002
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | SHAREHOLDER | |
| COONEY, JOHN MICHAEL | SVP, CHIEF COMPLIANCE OFFICER | 1326757 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FERGESEN, RICHARD DAVID | CEO, PRESIDENT, DIRECTOR | 717938 |
| GERB, JASON | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HODGE, TIMOTHY ROBERT | CHIEF OPERATIONS OFFICER | 2220910 |
| NORTHRIP, IRYNA YAKOVLEVNA | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 6466657 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Regulatory assets under management
| Total Number of Accounts | 101,950 |
| AUM (Assets Under Management) | $ 19,278,448,046 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 10 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/26/2024 |
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.
