David F. Patton
Professional summary
David Frederick Patton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, David had worked at 4 firms, which includes THIRD COAST SECURITIES LLC., LPL FINANCIAL LLC, WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, REALIZED FINANCIAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2003 - December 31, 2004
THIRD COAST SECURITIES, LLC.
November 15, 2000 - March 29, 2005
THIRD COAST SECURITIES, LLC.
October 13, 1998 - February 8, 2001
LPL FINANCIAL LLC
December 24, 1997 - October 21, 1998
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 8, 1996 - January 1, 1998
REALIZED FINANCIAL, INC.
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
THIRD COAST SECURITIES, LLC.
CRD#: 104082 / SEC#: , 8-52539
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PATTON, DAVID FREDERICK | PRESIDENT/TREASURER/FINOP/DIRECTOR | 2755800 |
Red Flags
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