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 - President

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.

David Hunt - COO

David brings more than 28 years of compliance and executive leadership experience in the financial services industry. David's current responsibilities include Patten’s marketing efforts, business development, client onboarding, and staff development.
Prior to joining the team, David served as CEO, president, and CCO for several BDs and IAs across the country. In every firm, David implemented compliance programs that emphasized a culture of compliance, and adherence to ethical standards and transparency.

Ashley Doelling

Ashley has nearly a decade of expertise in Quality and Compliance support. Her dedication to training and documentation ensures that she delivers constructive feedback to clients, fostering growth and comprehension. She started her career in the insurance industry, focusing on auditing and optimizing operational procedures. She is experienced in monitoring state regulatory changes, managing documentation, email compliance review and regulatory documentation.
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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.

Kimberley Dillingham

Kimberley “Kimi” Dillingham has been working in securities compliance since 2013, leading many significant projects in client-facing roles. She has worked alongside broker-dealers and investment advisors helping them maintain compliance with securities, commodities, and insurance regulations. After 10 years in the industry, Kimi has managed annual continuing education programs for over 1,000 students in addition to the renewals and licensing of over 8,500 agents and firms. 

Saundra Hudspeth

Saundra began her career in the Financial Services industry in 1993. She specializes in securities compliance and supervision. She supports Patten clients as a Compliance Director and operates as a Chief Compliance Officer, CEO, AML Compliance Officer, general securities principal, and municipal securities principal. Saundra fully manages compliance programs and supports clients in regulatory examinations, while developing effective, successful, relationships. ​

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.

Lauren Trousdale

Leveraging over a decade in the financial services sector and a background in accounting, Lauren brings a comprehensive skill set to Patten as a Compliance Associate. Her proficiency spans operations, marketing, and client service within the banking, broker-dealer and investment advisor domains. Lauren’s meticulous attention to detail, coupled with her commitment to ongoing education, underscores her dedication to assisting firms in achieving their organizational goals while ensuring strict adherence to industry regulations.

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.

Marina Combs

Marina has worked in the financial services industry for over 20 years. In her current role as a Compliance Analyst for Patten, she supports the Company’s Principals through conducting audits, third-party vendor management, firm element administration, managing client communications and regulatory email review. Marina holds an MBA from Nova Southeastern University. Prior experience includes being an Operations Manager for a Broker Dealer and supporting top level Financial Advisors.

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 roll-outs, 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.