Andrew J. 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.
Andrew Joseph Patterson, who also goes by Drew Patterson, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2008. Andrew 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
February 11, 2019 - July 17, 2019
AVANTAX ADVISORY SERVICES
March 29, 2018 - February 8, 2019
AVANTAX ADVISORY SERVICES
February 19, 2018 - July 17, 2019
AVANTAX INVESTMENT SERVICES, INC.
September 28, 2015 - October 7, 2016
ALLSTATE FINANCIAL ADVISORS, LLC
September 25, 2015 - October 7, 2016
ALLSTATE FINANCIAL SERVICES, LLC
February 13, 2015 - August 28, 2015
AVANTAX ADVISORY SERVICES
February 12, 2015 - August 28, 2015
AVANTAX INVESTMENT SERVICES, INC.
July 1, 2014 - August 29, 2014
STATE FARM VP MANAGEMENT CORP.
August 31, 2012 - June 11, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
August 30, 2012 - June 11, 2014
ALLSTATE FINANCIAL SERVICES, LLC
April 12, 2010 - September 4, 2012
AVANTAX ADVISORY SERVICES
January 20, 2010 - September 4, 2012
AVANTAX INVESTMENT SERVICES, INC.
May 15, 2008 - January 9, 2009
EQUITABLE ADVISORS, LLC
May 13, 2008 - January 9, 2009
EQUITABLE ADVISORS, LLC
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
