DP
David G. Patton
TLG ADVISORS
Woodland Hills, CA 91367
Some features on this profile are disabled
CRD#: 4601054
DP
Professional summary
David Grant Patton is a registered financial advisor currently at TLG ADVISORS, INC. located in Woodland Hills, California and THE LEADERS GROUP, INC. located in Summit, New Jersey.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. David has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.) INDEPENDENT INSURANCE AGENT - 10/18/2017 - 11955 N Labyrinth Drive, Oro Valley, AZ 85737- Agent, Solicit and Sell Annuity and Insurance Products, Insurance Business, not inv't rel, 160 hrs/mo; 160 hrs/mo (during trading hours). 2.) CAPITAS FINANCIAL - 7/1/2017 - 21800 Burbank Blvd, Suite 200, Woodland Hills, CA 91367 - Sales VP, Wholesaler, not inv't rel, Insurance Business, 160 hrs/mo; 160 hrs/mo (during trading hours). 3.) TLG ADVISORS, INC - 11/1/2017 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, IAR Business, 120 hrs/mo; 120 hrs/mo (during trading hours).
CRS (Client Relationship Summary) - RIA
Click below to view David Grant 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
November 3, 2017 - Present
TLG ADVISORS, INC.
Office #1: 21800 Burbank Blvd Suite 200, Woodland Hills, CA 91367RIA
CRD#: 111052
Woodland Hills, CA
Current
October 19, 2017 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901BD
CRD#: 37157
Summit, NJ
Past
April 26, 2017 - November 3, 2017
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
Westlake Village, CA
Past
February 16, 2012 - May 2, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
WESTLAKE VILLAGE, CA
Past
February 16, 2012 - May 2, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
WESTLAKE VILLAGE, CA
Past
January 3, 2011 - February 21, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
THOUSAND OAKS, CA
Past
January 3, 2011 - February 21, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
THOUSAND OAKS, CA
Past
April 30, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
THOUSAND OAKS, CA
Past
April 30, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
THOUSAND OAKS, CA
Past
January 13, 2006 - May 2, 2007
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
CAMARILLO, CA
Past
January 13, 2006 - May 2, 2007
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
CAMARILLO, CA
Past
September 27, 2004 - January 10, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FORT WORTH, TX
Past
July 13, 2004 - January 10, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 2, 2003 - July 14, 2004
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
Registered Investment Advisory firm - (8/6/2001 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
Arizona(1/4/2024)
RR
California(10/19/2017)
IAR
California(11/3/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
Registered Investment Advisory firm - (8/6/2001 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
Phone number
(888) 371-0013
Established
Firm type
Fiscal year end
# of Employees
280
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
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.
