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Frank Patton

Cetera Investors

201 E. Main St.
Suite 520

Lexington, KY 40507
(859) 2732171

About Cetera Investors

Cetera Investors is a marketing name of Cetera Investment Services. Cetera Investors was created from the purchase of the brokerage business of Foresters Financial, an institution that can trace its beginnings to the early part of the last century. We are driven by our purpose to help all people wherever they are in life and business with their financial health and overall well-being. We believe that our clients deserve more than a financial solutions provider  they deserve a partner who will help them prosper and improve their community. Securities and Insurance Products are offered through Cetera Investment Services LLC (doing insurance business in CA as CFG STC Insurance Agency LLC), member FINRA/SIPC. Advisory services are offered through Cetera Investment Advisers LLC.

General Information

Firm Start Year

2019

CRD#

4416431

Firm CRD#

15340

Name of Broker/Dealer

Cetera Investment Services LLC

States Licensed in

KY, TN, IN, IL, OH, GA, FL, NY, NC, CA, AZ

Years of Experience in Financial Services

19

Number of Years with Current Firm

1

I work with the following types of clients

Investment Clubs, Individual Investors, Businesses, Non-Profit Organizations

Services

Investment Types

Bonds, Exchange Traded Funds (ETFs), Annuities, Insurance, Mutual Funds, Socially Responsible Investments (SRI)

I can meet clients in the following ways

At my office, At your home, At your office, Via phone, Video Conference, Via email

Compliance

Registered Investment Advisor

No

Registered Representative

Yes

Investment Advisor Representative

Yes

I am an acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Securities Licenses

Series 65, Series 26, Series 24, Series 7, Series 6

Insurance and Annuity Licenses

Disability, Life, Long Term Care, Variable Annuity, Variable Life, Annuity

Compensation and Fees

Fee Structure

Fee-Based

Compensation Methods

Flat Fee

Education

Retirement Income Certfied Professional - Finance

American College of Financial Services
03/01/2018 - 12/1/18

Bachelors of Integrated Studies - Interdisciplinary Studies

Western Kentucky University
08/17/1998 - 05/18/2001

Disclaimer

Cetera Investors is a marketing name of Cetera Investment Services. Securities and Insurance Products are offered through Cetera Investment Services LLC, member FINRA/SIPC. Advisory services are offered through Cetera Investment Advisers LLC.