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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

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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 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.
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Dan Roberts

Dan is currently serving as a CCO, Compliance Director, and Options and Municipal Principal. He has over 25 years’ experience including relationship management with Representatives and Advisors, conference-speaking, training, and on-site Supervisory visits. Dan has in depth knowledge of financial products through review and approval of annuities, mutual funds, brokerage accounts, advisory accounts, and subsequent risk quality review. 
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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.
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                             Tammy Tam                                                               Alona Kornberg

​Tammy has over 15 years of experience in
compliance.  She has worked in-house in a
compliance and supervisory capacity at a
startup ​and a full service retail broker
dealer. She worked for the Boston FINRA
office for 9 years and for ACA as a Senior
Principal Consultant for 4 years.  She has a
BA in Economics and International Relations
from Boston University and is also a Certified
Anti-Money Laundering Specialist with
a graduate certificate in Forensic Accounting
from Northeastern ​University.

Ms. Kornberg currently serves as a Compliance Analyst for Patten Training. She is responsible for conducting and supporting audits, monitoring compliance regulations, third-party vendor management, firm element administration, managing internal and client communications, and support for the Company’s CCOs and Principals. Ms. Kornberg has experience with creation and modification of regulatory required documentation, which includes Written Supervisory Procedures, Anti-Money Laundering Policies, Business Continuity Plans, Disclosures, and compliance database management. She currently holds the following FINRA and state registrations: SIE, Series 7, and Series 63.

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.

    Please contact us for more detailed information.

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  • Home
  • Principal Outsourcing & Compliance
  • Series Training
  • FINOP Exchange
  • Contact