Stephanie M. Patton

CETERA INVESTMENT ADVISERS

DELPHOS, OH 45833

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CRD#: 3226973

Professional summary

Stephanie Michelle Patton, who also goes by Stephanie Michelle Clark, Stephanie Patton, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Delphos, Ohio and CETERA WEALTH SERVICES, LLC located in Delphos, Ohio.

Stephanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Stephanie has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Aliases

Stephanie Michelle Clark | Stephanie Patton

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. NAME OF OTHER BUSINESS: RAHRIG FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 03/2021 POSITION/TITLE/RELATIONSHIP: REGISTERED ADMINISTRATIVE REPRESENATIVE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE DAY TO DAY OPERATIONAL SUPPORT 2. NAME OF OTHER BUSINESS: THE HAUNTED ENTHUSIASTS INVESTMENT RELATED: NO ADDRESS: 4351 STEMEN ST ELIDA, OH 45807 NATURE OF BUSINESS: TOURISM / TRAVEL START DATE: 09/1999 POSITION/TITLE/RELATIONSHIP: PARTNER / CO-FOUNDER APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: TRAVEL THE COUNTRY VISITING HAUNTED ATTRACTIONS AND CONSULT WITH THE OWNERS REGARDING THE BUSINESS ACTIVITIES AND HOW TO MAKE THEM MORE PROFITABLE. WE ALSO RATE THE ATTRACTIONS AND PHOTOGRAPH THEM FOR OUR WEBSITE; 3. NAME OF OTHER BUSINESS: NOTARY PUBLIC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZE DOCUMENTS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Michelle 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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 840 Ohio St., Delphos, OH 45833

RIA

CRD#: 105644

DELPHOS, OH

Current

March 19, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 840 Ohio St., Delphos, OH 45833

CRD#: 13572

DELPHOS, OH

Past

March 19, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

August 11, 2011 - March 19, 2021

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

DELPHOS, OH

Past

August 10, 2011 - March 19, 2021

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

DELPHOS, OH

Past

July 10, 2007 - August 5, 2011

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

WAPAKONETA, OH

Past

July 10, 2007 - August 5, 2011

FIFTH THIRD SECURITIES, INC.

CRD#: 628

WAPAKONETA, OH

Past

July 6, 2005 - June 27, 2007

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

LIMA, OH

Past

July 6, 2005 - June 27, 2007

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

LIMA, OH

Past

May 7, 2003 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

LIMA, OH

Past

December 15, 1999 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Ohio
(3/19/2021)

IAR

Ohio
(6/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/5/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/14/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

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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Firm Stability Insights

Stephanie M. Patton

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Michelle Patton's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/5/2003

SIE

Date: 10/1/2018

Series 7

Date: 12/14/1999

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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