David B. Patchen
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.
David Brian Patchen was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1988. David had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2013 - December 4, 2024
RAYMOND JAMES & ASSOCIATES, INC.
March 11, 2009 - October 29, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 17, 2004 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - October 29, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 15, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
October 2, 1997 - October 7, 1997
AISCO TRADING, INC.
May 5, 1993 - November 10, 1997
AMERICAN INVESTMENT SERVICES, INC.
September 22, 1989 - September 17, 1991
MORGAN STANLEY DW INC.
July 25, 1989 - September 6, 1989
CARNEGIE INVESTOR SERVICES INC.
April 12, 1989 - June 27, 1989
SECURITIES USA, INC.
March 30, 1989 - April 8, 1989
MONMOUTH INVESTMENTS, INC.
September 20, 1988 - March 10, 1989
INVESTORS CENTER, INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| KONEFAL, RICHARD EUGENE | DIRECTOR | 2431960 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,143,145 |
| AUM (Assets Under Management) | $ 500,955,604,975 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
