Patrick K. Moriarity
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Patrick K Moriarity, who also goes by Pat Moriarity, Patrick Kevin Moriarity, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1982. Patrick had worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, Series 7TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2019 - February 4, 2021
EDWARD JONES
April 26, 2019 - February 4, 2021
EDWARD JONES
October 20, 2018 - May 16, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 20, 2018 - May 16, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 3, 1999 - October 20, 2018
INVESTMENT ADVISORS CORP
January 4, 1995 - October 20, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
July 13, 1994 - January 20, 1995
HAWKEYE INVESTOR CENTER, INC.
January 27, 1992 - August 30, 1994
BROKER DEALER FINANCIAL SERVICES CORP.
March 2, 1989 - February 5, 1992
DICKINSON & CO.
May 25, 1988 - March 14, 1989
IMG FINANCIAL SERVICES, INC.
June 21, 1982 - August 22, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
June 21, 1982 - August 22, 1985
AMERICAN EXPRESS FINANCIAL CORPORATION
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
