Patrick J. Dertien
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.
Patrick John Dertien was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2001. Patrick had worked at 10 firms and has passed the Series 63, SIE, 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
July 25, 2011 - September 17, 2018
NATALLIANCE SECURITIES, LLC
January 11, 2011 - August 9, 2011
ALAMO CAPITAL
June 16, 2010 - December 20, 2010
SOURCE CAPITAL GROUP, INC.
January 10, 2008 - August 4, 2008
DIRECT CAPITAL SECURITIES, INC.
May 2, 2007 - January 31, 2008
KERSHNER TRADING GROUP, LLC
February 16, 2005 - August 8, 2005
FLAGSTAR ADVISORS
September 2, 2004 - December 9, 2004
NORTH AMERICAN CLEARING, INC.
July 21, 2004 - September 1, 2004
CAPITAL FIXED INCOME GROUP, LP
July 8, 2003 - December 4, 2003
INVESTMENT PROFESSIONALS, INC.
April 9, 2001 - July 9, 2003
ADVISORS ASSET MANAGEMENT, 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
NATALLIANCE SECURITIES, LLC
CRD#: 39455 / SEC#: , 8-48723
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATALLIANCE HOLDING COMPANY LLC | OWNER | |
| ADAMS, JASON | BOARD MEMBER | 2690575 |
| BRENNER, ANDREW SCOTT | BOARD MEMBER | 1227535 |
| BUSH, FRED COSTON | CFO/COO | 3075024 |
| CARREON, MICHELLE ELLIS | CCO | 4861485 |
| GIORDANO, MICHAEL JAMES | BOARD MEMBER | 5942248 |
| HENDRICKSON, GEORGE ALEXANDER BROWN | BOARD MEMBER | 2382347 |
| LIEPMAN, JOHN FRANCIS | BOARD MEMBER | 2037298 |
| LOERCH, SAMUEL JAMES | BOARD MEMBER | 1195328 |
| SALTER, MARK MYLES | BOARD MEMBER/CEO/PRESIDENT | 1180139 |
| TAYLOR, BRADFORD STEPHEN | BOARD MEMBER | 5751455 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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