Joshua P. Patterson
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.
Joshua Patrick Patterson, who also goes by Josh Patterson, Joshua Patterson, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2006. Joshua had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2025 - October 24, 2025
VALIC FINANCIAL ADVISORS, INC.
October 20, 2022 - April 17, 2023
KEY INVESTMENT SERVICES LLC
October 20, 2022 - April 17, 2023
KEY INVESTMENT SERVICES LLC
May 18, 2022 - November 11, 2022
LPL FINANCIAL LLC
May 18, 2022 - November 11, 2022
LPL FINANCIAL LLC
March 24, 2021 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
March 24, 2021 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
October 4, 2017 - March 12, 2021
VALIC FINANCIAL ADVISORS, INC.
October 4, 2017 - March 12, 2021
VALIC FINANCIAL ADVISORS, INC.
January 3, 2011 - December 8, 2015
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - December 8, 2015
WELLS FARGO CLEARING SERVICES, LLC
July 20, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
November 1, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
Primary Firm SEC Registration
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
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
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
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.
