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.
We have the skills and expertise to help you stay compliant in today’s ever-changing regulatory environment.
Our Team
Deirdre PattenDeirdre 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 RobertsDan 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
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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
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Chief Compliance Officer
Variable Products Principal
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Registered Options Principal
Supervisory Principal
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Municipals Principal
FINOP
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Investment Banking Principal
Content Development
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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.
