David Grant Patton

Current Employers

Employment History

• 02/2012 → 04/2017
  Cambridge Investment Research, Inc
  Fairfield, IA
• 02/2012 → 04/2017
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA
• 04/2017 → Present
  Regal Investment Advisors, Llc
  Kentwood, MI
• 10/2017 → Present
  The Leaders Group Inc
  Littleton, CO
• 07/2017 → Present
  Pacific Southwest Financial
  Woodland Hills, CA

Previous Registrations

• 2017-04-26 → 2017-11-03
  Regal Investment Advisors Llc
  Westlake Village, CA
  Kentwood, MI
• 2012-02-16 → 2017-05-02
  Cambridge Investment Research Advisors, Inc.
  Westlake Village, CA
• 2011-01-03 → 2012-02-21
  Wells Fargo Clearing Services, Llc
  Thousand Oaks, CA
• 2007-04-30 → 2011-01-03
  Wells Fargo Investments, Llc
  Thousand Oaks, CA
  West Hills, CA
  Newbury Park, CA
  Agoura Hills, CA
• 2006-01-13 → 2007-05-02
  Cetera Investment Services Llc
  Santa Barbara, CA
  Camarillo, CA
• 2004-09-27 → 2006-01-10
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Fort Worth, TX

Other Businesses

1.) INDEPENDENT INSURANCE AGENT - 10/18/2017 - 11955 N Labyrinth Drive, Oro Valley, AZ 85737- Agent, Solicit and Sell Annuity and Insurance Products, Insurance Business, not inv't rel, 160 hrs/mo; 160 hrs/mo (during trading hours). 2.) CAPITAS FINANCIAL - 7/1/2017 - 21800 Burbank Blvd, Suite 200, Woodland Hills, CA 91367 - Sales VP, Wholesaler, not inv't rel, Insurance Business, 160 hrs/mo; 160 hrs/mo (during trading hours). 3.) TLG ADVISORS, INC - 11/1/2017 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, IAR Business, 120 hrs/mo; 120 hrs/mo (during trading hours).

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-09-02
• S63 Uniform Securities Agent State Law Examination
  2003-01-03