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Kent J Patton

Pershing LLC

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About Kent J Patton

Kent J Patton is a licensed securities professional with over four years of experience in the financial services industry. Kent is currently registered with Pershing LLC in Lake Mary, FL. Prior to joining Pershing LLC, Kent was employed by DEUTSCHE BANK SECURITIES INC. and RAYMOND JAMES & ASSOCIATES, INC.. Kent has passed the Series 7TO, Series 9, Series 10, Series 24, Series 66, and SIE exams. Kent holds a current license to operate in Florida and New Jersey.

Firm Information

Kent Patton is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Kent Patton’s Registration & Firm History

FL

11/22/2023 - Present

Pershing LLC (LAKE MARY FL)

FL

01/06/2022 - 05/04/2023

DEUTSCHE BANK SECURITIES INC. (JACKSONVILLE FL)

FL

03/13/2019 - 05/14/2021

RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)

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Licenses & Designations

BOTH

Issued 06/27/2020

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/28/2021

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/30/2020

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/16/2020

Series 24 - General Securities Principal Examination

BC

Issued 03/13/2019

Series 7TO - General Securities Representative Examination

BC

Issued 02/18/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Kent J Patton.
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