David Patton, financial advisor Westlake Village CA
71 score

David Patton

CRD Number: 4601054
Current Firm: Cambridge Investment Research Advisors, Inc.

David Patton (CRD# 4601054) is an Investment Advisor Representative working at Cambridge Investment Research Advisors, Inc. in Westlake Village, CA and has over 13 years of experience in the finance industry.

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Company Name Location Dates Years
Cambridge Investment Research, Inc. Fairfield, IA Feb 2012 - Current 4
Cambridge Investment Research Advisors, Inc. Fairfield, IA Feb 2012 - Current 4
Wells Fargo Advisors LLC Thousand Oaks, CA Jan 2011 - Feb 2012 1
Wells Fargo Investments, LLC Thousand Oaks, CA Apr 2007 - Jan 2011 3
Primevest Financial Services, Inc. St. Cloud, MN Jan 2006 - Apr 2007 1
Santa Barbara Bank & Trust Santa Barbara, CA Jan 2006 - Apr 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 2003
S65 NASAA Investment Advisors Law Examination Sep 2004
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for David G. Patton
Phone Number: 641-472-5100
Firm Website: http://www.cir2.com
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    25,187
    MILLIONS
  • Total Number of Accounts
    152,412
    ACCOUNTS
  • Average Account Value
    $165,257
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Market timing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
71

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