SP
Stephanie M. Patton
CETERA INVESTMENT ADVISERS LLC
DELPHOS, OH 45833
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CRD#: 3226973
SP
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.
Question & Answer
Are you a "fiduciary"?
Yes
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;
CRS (Client Relationship Summary) - RIA
Click below to view Stephanie Michelle Patton's 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 840 Ohio St., Delphos, OH 45833RIA
CRD#: 105644
DELPHOS, OH
Current
March 19, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 840 Ohio St., Delphos, OH 45833BD
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.
BD
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.
BD
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.
BD
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
BD
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Ohio(3/19/2021)
IAR
Ohio(6/29/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Delphos, OH 45833TRUST BUT VERIFY
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