We Can Provide all of Your Principal Outsourcing, Compliance & Training Needs

At Patten Training & Review LLC, we provide specialized services to the Financial Services industry.

Our customized services are designed to provide you with affordable financial expertise. We strive to exceed your expectations and have developed strategic relationships over the years that we can leverage to ensure cost-effective compliance solutions for your firm.

We have the skills and expertise to help you stay compliant in today’s ever-changing regulatory environment.
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Our Team

Deirdre Patten

Deirdre brings over 30 years of experience in the Compliance and Financial Services Industry.  Ms. Patten has operated as FINOP as well as General Securities Principal, Options Principal, Municipal Principal, CEO and CCO for numerous firms throughout the country. In addition, for almost 20 years, she has instructed industry classes while overseeing the quality of classroom content and classroom instructors.

Saundra Hudspeth

 Saundra began her career in the Financial Services industry in 1993.  She spent 17 years with USAA Investment Management Company in an operations and compliance capacity.  She was with Nationwide Securities, LLC. for 10 years as Field Securities Principal for the western, southern and mid-western regions of the U.S.  Saundra specializes in securities compliance and supervision,  where she operates as General and Municipal Securities Principal and CCO.

Alona Kornberg

Alona is a Compliance Analyst for Patten. She is responsible for conducting audits, monitoring regulations, third-party vendor management, firm element administration, managing client communications, and support for the Company’s Principals. Alona has experience with creation of regulatory documentation, including WSPs, AML Policies, BCPs, Disclosures, and compliance database management. 

Dan Roberts

Dan is currently serving as a CCO, Compliance Director, and Options and Muni Principal with Patten. Over 25 years’ experience including conference-speaking engagements, training meetings, and on-site Supervisory visits. In depth knowledge of financial products. Prior responsibilities include OSJ and Branch office compliance, risk reporting, WSP and AML editing, auditing, continuing education administration, Form BD and Form ADV maintenance, and staff management.

Curtis Calvert

Curtis is a compliance professional with over 25 years of experience in the Financial Services industry. He began his career in 1996 as a FINRA examiner, reviewing FINRA member firms for compliance with regulatory requirements, including net capital, operations, and sales practices. In 2010, he began working directly with broker-dealers as a principal, manager, and director, focused on compliance, supervision, and oversight to support the firms in maintaining adherence to organizational objectives as well as industry regulations.

Patricia Mims

Patricia (“Trish”) began her career in the Financial Services industry in 1999 overseeing regulatory compliance for an insurance agency, serving as Sr. Compliance Officer and FinOp.  Her background includes overseeing compliance programs for Broker Dealers, Financial Advisors, and mutual funds. Her experience includes oversight of financial operations and annual audits, AML programs, regulatory email review, Fidelity Bond renewal, Errors and Omissions insurance review, and onboarding for new employees.

Rachel Miranda

Rachel has over 20 years of experience in the banking industry. She started in the Corporate Security Department investigating internal and external fraud, along with physical security and later moved to the Internal Audit Department.
She also has experience working for credit unions serving as the VP of Risk and Operations Support. She was responsible for Internal Audit, Fraud, Security, Compliance, Document Verification, and Collateral Protection and was the BSA Officer. She holds several credit union certifications including Credit Union Enterprise Risk Management Expert, Credit Union Compliance Expert, and Credit Union Internal Auditor.

Tristan Scott

Tristan has worked in the financial services industry for over 20 years, most recently as a Registration Coordinator in the Compliance, Licensing & Registration Department with LPL Financial. In his current role as a Compliance Analyst, he supports the Company’s Principals through conducting audits, monitoring regulations, third-party vendor management, firm element administration, and managing client communications. Tristan’s role also includes the creation of regulatory documentation, including WSPs, AML Policies, BCPs, Disclosures, and compliance database management.

FinOps

Susan Hayes

Susan brings over 30 years experience in finance and accounting with over 20 years direct experience as a FinOp.  She is experienced in DMA institutional brokerage, investment banking, audit preparation, acquisitions and divestitures, and strategic tax planning.  Susan offers comprehensive financial and administrative experience with diverse corporations and partnerships, successfully managing operations, controlling costs and positioning businesses for continued growth. She effectively interacts with bankers, investment bankers, accountants and auditors, regulators, attorneys, investors and other business professionals.

Ivana Shumberg

Ivana is a CPA and a Chartered Global Management Accountant.  She has over 20 years experience acting as the CFO and EVP for several financial services companies.   Her responsibilities included closing transactions, financing, managing construction projects, tax compliance, setting up and managing a private foundation as well as managing other private assets. Ivana is knowledgeable in various types of tax filings, and spear-headed the completion of legal and tax documents related to various types of business organizations on behalf of her clients. She is also well-versed in preparing GAAP financial statements. Since April 2019, she has served as an outsourced FINOP. 

Specialty Services

Chief Compliance Officer
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Variable Products Principal

Registered Options Principal
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Supervisory Principal

Municipals Principal 
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FINOP

Investment Banking Principal
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Content Development

Other services offered include RIA CCO and compliance services, mergers and acquisitions, branch audits, Annual Compliance Meeting, WSP review & update, 3rd party AML testing, editorial review, product rollouts, in-house custom corporate training programs, email surveillance, executive training programs, and we are also available for public speaking engagements.


Patten Training & Review is dedicated to financial individuals and their firms by
providing quality training and compliance solutions through the
use of our effective, efficient, and proven expertise.