Darren V. Patton

CUNA BROKERAGE SERVICES

Parkersburg, IA

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CRD#: 1767030

Professional summary

Darren Vincent Patton is a registered financial professional currently at CUNA BROKERAGE SERVICES, INC. located in Parkersburg, Iowa.

Darren is registered as a RR (Registered Representative) and started their career in finance in 1990. Darren has worked at 11 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Darren Vincent Patton'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

July 29, 2019 - Present

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

Parkersburg, IA

Past

December 18, 2018 - July 18, 2019

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Glenmoore, PA

Past

July 25, 2013 - August 20, 2018

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

PHILADELPHIA, PA

Past

August 26, 2005 - July 25, 2013

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

PHILADELPHIA, PA

Past

September 18, 2003 - September 7, 2005

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

March 29, 2001 - August 21, 2003

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

February 4, 2000 - September 2, 2000

DREYFUS INVESTMENT SERVICES COMPANY, LLC

CRD#: 17477

PITTSBURGH, PA

Past

September 1, 1998 - June 30, 1999

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

October 16, 1997 - November 18, 1997

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

January 23, 1997 - October 22, 1997

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

December 14, 1990 - April 1, 1996

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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

Pennsylvania
(7/29/2019)

Exams

State Security Law Exam

Series 63

Date: 5/13/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/20/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/12/1990

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC. | TRUSTAGE WEALTH MANAGEMENT SOLUTIONS DBA OF CUNA BROKERAGE | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS WESTCONSIN INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS TENNESSEE VALLEY INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS SUNMARK LIFE STAGE ADVISORY | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS SUNMARK LIFE STAGE ADVISORY | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS MECU INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FIRST WEALTH ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FINANCIALEDGE ADVISORY GROUP | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ENVISTA INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS CUNA MUTUAL GROUP FINANCIAL ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS CLEARVIEW INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS BCU INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ALEC INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS AAFCU INVESTMENT & RETIREMENT ADVISORS

CRD#: 13941 / SEC#: 801-60099, 8-30027

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

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Contact information

Main Address

2000 Heritage Way, Waverly, IA 50677

Mailing Address

2000 Heritage Way, Waverly, IA 50677

Phone number

(319) 352-4090

Established

Wisconsin since 05/11/1983

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

716

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CBSI WRAP FEE BROCHURE 3-2022 (3/31/2022)

CBSI FORM ADV 2A 3-2022 (3/31/2022)

Direct owners and executive officers

Name	Position	CRD#
CUNA MUTUAL INVESTMENT CORPORATION	OWNER
BARBATO, PAUL DAMIEN	SENIOR VICE PRESIDENT	7064310
BOAN, JOSEPH SALVATORE	PRESIDENT/DIRECTOR	2379993
BROCK, JENNY MARIE	TREASURER	6654483
COPELAND, CHRISTOPHER JUDD	DIRECTOR	6437117
HABERSTICH, MELISSA M	CHIEF COMPLIANCE OFFICER	4190838
KARLS, WILLIAM ANTON	DIRECTOR	6847792
POPPE, CHRISTINE ELIZABETH	LICENSING OFFICER	4080909
SCHULTZ, TAMMY LYNN	DIRECTOR	7991087
THOMAS, BARTH T	SECRETARY/DIRECTOR	2849100

Regulatory assets under management

Total Number of Accounts	20,233
AUM (Assets Under Management)	$ 5,790,352,615

Disclosures

Regulatory Event	5
Arbitration	6

Red Flags

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Darren V. Patton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Darren Vincent Patton's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL PARTNERS, LLC

NEW ENGLAND SECURITIES

EMPOWER FINANCIAL SERVICES, INC.

DREYFUS INVESTMENT SERVICES COMPANY, LLC

SIGNATOR INVESTORS, INC.

KESTRA INVESTMENT SERVICES, LLC

WOODBURY FINANCIAL SERVICES, INC.

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 5/13/1994

SIE

Date: 8/20/2018

Series 6

Date: 12/12/1990

FINRA

Current Firm

CUNA BROKERAGE SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CUNA BROKERAGE SERVICES, INC.

TRUST BUT VERIFY

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