Patricia Diane Verhalen

Current Employers

Employment History

• 12/2006 → 06/2024
  Lpl Financial, Llc
  Lexington, KY
• 06/2026 → Present
  Osaic Wealth, Inc.
  Lexington, KY
• 06/2024 → 06/2026
  Commonwealth Financial Network
  Waltham, MA
• 06/2024 → Present
  Alliance Financial Planning
  Lexington, KY

Previous Registrations

• 2024-06-03 → 2026-06-10
  Commonwealth Financial Network
  Waltham, MA
  Lexington, KY
• 2006-12-07 → 2024-06-13
  Lpl Financial Llc
  Lexington, KY
  Lexington, KY
  Louisville, KY
  Fort Mill, SC
  Louisville, KY
  Louisville, KY
  Winchester, KY
  Corbin, KY

Other Businesses

1. PATRICIA DIANE VERHALEN POSITION: Agent NATURE: Fixed Insurance Sales through a BGA. Approximately 10% of time a year is spent on this type of business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/10/2004 ADDRESS: 525 Darby Creek #29, Lexington KY 40509, United States DESCRIPTION: Quote and take applications for fixed insurance and fixed annuities. Get the policies and contracts delivered to clients as needed. 2. LEGAL SHIELD POSITION: associate NATURE: sole proprietor - 1099 INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/15/2016 ADDRESS: 525 Darby Creek #29, Lexington KY 40509, United States DESCRIPTION: Associate, Legal Shield, referring legal and identity theft services to clients. This offers a lower cost option for people to get their estate planning docs done and get identity theft protection, which are all tied to financial planning. 3. PDV PROPERTIES, LLC POSITION: owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2023 ADDRESS: 525 Darby Creek #29, Lexington KY 40509, United States DESCRIPTION: This is an LLC for my rental properties. 4. PATRICIA DIANE VERHALEN POSITION: Agent NATURE: Fixed Insurance Sales through a BGA. Approximately 10% of time a year is spent on this type of business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/10/2004 ADDRESS: 525 Darby Creek #29, Lexington KY 40509, United States DESCRIPTION: Quote and take applications for fixed insurance and fixed annuities. Get the policies and contracts delivered to clients as needed. 5. ALLIANCE FINANCIAL PLANNING, LLC POSITION: owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 40 START DATE: 02/20/2014 ADDRESS: 525 Darby Creek #29, Lexington KY 40509, United States DESCRIPTION: private entity established to facilitate securities, advisory, and insurance business; as of 02/20/2014. It is the DBA for which I run my business. 6. EAST POINT OFFICE CONDO ASSOCIATION POSITION: secretary NATURE: I'm on the board of directors for the condo association where the office is located. I am the secretary on the board. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 03/01/2024 ADDRESS: 501 Darby Creek, Lexington KY 40509, United States DESCRIPTION: I am on the board to make decisions for the condo association and take notes at the board meetings.

Exams

• S66 Uniform Combined State Law Examination
  2004-08-02

Designations

Other Names

• Diane Verhalen