SP
Stephen F. Patterson
DIVERSIFY ADVISORY SERVICES
WINDSOR, CO 80550
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CRD#: 5808020
SP
Professional summary
Stephen Francis Patterson II, ChFC®, CLU® is a registered financial advisor currently at DIVERSIFY ADVISORY SERVICES, LLC located in Windsor, Colorado and DFPG INVESTMENTS, LLC located in Windsor, Colorado.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Stephen has worked at 6 firms and has passed the Series 63, Series 22TO, SIE and Series 6 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.) 2) Rocky Mountain Wealth Advisors; DBA Name for Marking Purposes; Partner. Investment Related; Yes. Windsor, Colorado. Hours: 40%. Start Date: 8/1/2024. Investment management ad advisory services for Clients including BD transactional business and fee based advisory business as an IAR through the Diversify RIA. 2.) PAYTER PROPERTIES LLC - 11/23/2020 - 8762 Longs Peak Cir Windsor, CO 80550 - 50% partner in holding company that holds 9217 Eastman Park Dr Unit 6 Windsor, CO. Investment property used for Veterinary Practice - Not investment related. 1 hrs/mo (outside trading hours)
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Francis Patterson II'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®
Experience
Current
October 3, 2023 - Present
DIVERSIFY ADVISORY SERVICES, LLC
Office #1: 1230 W Ash St Unit C, Windsor, CO 80550RIA
CRD#: 326060
WINDSOR, CO
Current
October 3, 2023 - Present
DFPG INVESTMENTS, LLC
Office #1: 1230 W Ash St Unit C, Windsor, CO 80550BD
CRD#: 155576
WINDSOR, CO
Past
October 3, 2023 - December 31, 2023
DFPG INVESTMENTS, LLC
RIA
CRD#: 155576
SANDY, UT
Past
January 2, 2018 - September 29, 2023
TLG ADVISORS, INC.
RIA
CRD#: 111052
Windsor, CO
Past
January 2, 2018 - September 29, 2023
THE LEADERS GROUP, INC.
BD
CRD#: 37157
DENVER, CO
Past
May 21, 2015 - January 3, 2018
BFC PLANNING, INC.
RIA
CRD#: 119682
GREELEY, CO
Past
June 24, 2010 - January 3, 2018
SECURITIES MANAGEMENT & RESEARCH, INC.
BD
CRD#: 759
GREELEY, CO
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".
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
Registered Investment Advisory firm - (8/31/2023 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
Colorado(10/3/2023)
IAR
Colorado(10/3/2023)
RR
Kansas(10/3/2023)
RR
Nebraska(10/3/2023)
RR
Ohio(11/8/2023)
RR
Wyoming(10/19/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 4/6/2024
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
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Contact information
Main Address
9017 S Riverside Dr. Suite 210, Sandy, UT 84070
Mailing Address
Phone number
(801) 890-7577
Established
Firm type
Fiscal year end
# of Employees
171
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,318 |
| AUM (Assets Under Management) | $ 3,206,698,268 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 |
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.
