Richard D. Patterson

CERTIFIED ADVISORY CORP

ORLANDO, FL

Some features on this profile are disabled

CRD#: 805642

Professional summary

Richard Dale Patterson, who also goes by Rick Patterson, is a registered financial advisor currently at CERTIFIED ADVISORY CORP located in Orlando, Florida and FORTUNE FINANCIAL SERVICES, INC. located in Orlando, Florida.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Richard has worked at 8 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE, Series 1 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Patterson

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.

PRESIDENT/OWNER OF ASSOCIATED PLANNERS GROUP SINCE 1985. 8451 BAY HILL BLVD, ORLANDO, FL 32819. 2) SINCE 1967- INDEPENDENT LIFE AND HEALTH INSURANCE AGENT. INVESTMENT-RELATED. MY INSURANCE ACTIVITIES TAKE ABOUT 30% OF MY TIME. 3.) IAR with Certified Advisory Corp since 2006

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Dale Patterson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 26, 2006 - Present

CERTIFIED ADVISORY CORP

RIA

CRD#: 120990

ORLANDO, FL

Current

March 29, 2021 - Present

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

Orlando, FL

Past

June 20, 2013 - December 31, 2015

DELTA SECURITIES COMPANY, LLC

CRD#: 130577

Orlando, FL

Past

June 23, 2006 - July 13, 2021

SIGNATURE ESTATE SECURITIES, LLC

CRD#: 18923

Orlando, FL

Past

March 23, 2005 - June 5, 2006

MUTUAL SERVICE CORPORATION

RIA

CRD#: 4806

ORLANDO, FL

Past

January 2, 2004 - June 5, 2006

MUTUAL SERVICE CORPORATION

CRD#: 4806

ORLANDO, FL

Past

November 18, 1998 - December 31, 2003

SIGNATURE ESTATE SECURITIES, LLC

CRD#: 18923

LOS ANGELES, CA

Past

May 22, 1992 - November 23, 1998

CFG SECURITIES CORP.

CRD#: 10815

LONGWOOD, FL

Past

March 31, 1989 - April 7, 1992

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

April 7, 1988 - March 31, 1989

LOWRY FINANCIAL SERVICES CORPORATION

CRD#: 7291

Past

March 6, 1975 - April 9, 1988

EQUITY SERVICES, INC.

CRD#: 265

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".

CERTIFIED ADVISORY CORP

CERTIFIED ADVISORY CORP | CERTIFIED ADVISORY CORP.

CRD#: 120990 / SEC#: 801-61305

RIA

Registered Investment Advisory firm - (7/23/2002 Approved)

Florida

Registered Investment Advisory firm - (10/31/2002 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

Florida
(7/7/2006)

Florida
(3/29/2021)

North Carolina
(3/29/2021)

IAR

Texas
(1/24/2007)

Texas
(3/30/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/12/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 2/28/1975

Registered Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/19/1986

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CERTIFIED ADVISORY CORP

CERTIFIED ADVISORY CORP | CERTIFIED ADVISORY CORP.

CRD#: 120990 / SEC#: 801-61305

RIA

Registered Investment Advisory firm - (7/23/2002 Approved)

Florida

Registered Investment Advisory firm - (10/31/2002 Terminated)

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

1111 Douglas Avenue, Altamonte Springs, FL 32714-2033

Mailing Address

Phone number

(407) 869-9800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAC FIRM BROCHURE 033125 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	6,217
AUM (Assets Under Management)	$ 2,673,832,488

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
03/01/2024	Cover Page	Report
10/25/2022	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard D. Patterson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Dale Patterson's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

DELTA SECURITIES COMPANY, LLC

SIGNATURE ESTATE SECURITIES, LLC

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

SIGNATURE ESTATE SECURITIES, LLC

CFG SECURITIES CORP.

MUTUAL SERVICE CORPORATION

LOWRY FINANCIAL SERVICES CORPORATION

EQUITY SERVICES, INC.

Primary Firm SEC Registration

CERTIFIED ADVISORY CORP

State Registrations and Notice Filings

Exams

Series 63

Date: 4/12/2001

Series 22TO

Date: 1/2/2023

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 2/28/1975

Series 26

Date: 8/19/1986

FINRA

Current Firm

CERTIFIED ADVISORY CORP

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CERTIFIED ADVISORY CORP

TRUST BUT VERIFY

Similar Advisors