AP
AP
Alan Patten
34 Years of Experience
Orlando, FL
1 DisclosureBroker
Alan Patten is a registered investment advisor at Raymond James & Associates, INC., based in Orlando, FL, with 34 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
Loading...
Location
301 East Pine Street, Suite 1100, Orlando, FL, 32801
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2002Closed-No Action
Employment History
Current Registrations
Raymond James & Associates, INC.
March 1993 - Present · 33 yrs 2 mos
Raymond James & Associates, INC.
March 1993 - Present · 33 yrs 2 mos
Raymond James & Associates, INC.Broker
March 1993 - Present · 33 yrs 2 mos
Previous Registrations
Pruco Securities CorporationBroker
October 1990 - October 1991 · 1 yr
The Prudential Insurance Company of AmericaBroker
October 1990 - October 1991 · 1 yr
State Registrations21 states
ARCACOFLGAIAIDILINKYMAMNMOMSNCNENVOKTXVAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.