Patrick S. Paxton

TRUFP

Cumming, GA 30040

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CRD#: 1128118

Professional summary

Patrick Sturmer Paxton, who also goes by Pat Paxton, is a registered financial advisor currently at TRUFP located in Cumming, Georgia.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Patrick has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Pat Paxton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.OWNER OF RENTAL OFFICE SPACE,327 DAHLONEGA ST STE 503, CUMMING, GA, 1/2018. NIR - 0 HRS. 2.FORSYTH COUNTY REPUBLICAN PARTY; NOT INVESTMENT-RELATED; CUMMING, GA; TREASURER; START DATE: 4/2023; APPROX. 20 HRS/MO OUTSIDE TRADING HOURS; DUTIES INCLUDE BOOKKEEPING AND FUNDRAISING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Sturmer Paxton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 2, 2019 - Present

TRUFP

Office #1: 327 Dahlonega Street, Suite 503 Pmb 538, Cumming, GA 30040

RIA

CRD#: 299212

Cumming, GA

Past

January 5, 2011 - December 31, 2018

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

CUMMING, GA

Past

January 3, 2011 - December 31, 2018

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

CUMMING, GA

Past

June 29, 2005 - December 31, 2010

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

CUMMING, GA

Past

June 24, 2005 - December 31, 2010

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

CUMMING, GA

Past

December 11, 2003 - July 1, 2005

EQUITY SERVICES, INC.

RIA

CRD#: 265

CUMMING, GA

Past

December 9, 2003 - July 1, 2005

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

May 2, 2003 - November 14, 2003

VERAVEST INVESTMENT ADVISORS, INC.

RIA

CRD#: 105796

ATLANTA, GA

Past

June 8, 1999 - November 14, 2003

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

August 31, 1993 - June 16, 1999

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

August 31, 1993 - June 16, 1999

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

October 15, 1992 - July 8, 1993

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

August 12, 1988 - June 22, 1992

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

DENVER, CO

Past

July 16, 1987 - September 12, 1988

NORRIS & HIRSHBERG, INC.

CRD#: 2929

Past

July 2, 1986 - July 28, 1987

SWINK & COMPANY, INC.

CRD#: 7111

Past

April 23, 1984 - July 17, 1986

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRUFP

INVESTMENT PLANNING ADVISORS | TRUFP

CRD#: 299212 / SEC#: 801-117561

RIA

Registered Investment Advisory firm - (10/30/2019 Approved)

Georgia

Registered Investment Advisory firm - (12/6/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(1/2/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/17/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/6/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/14/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/26/2011

General Securities Principal Examination

Current Firm

TRUFP

INVESTMENT PLANNING ADVISORS | TRUFP

CRD#: 299212 / SEC#: 801-117561

RIA

Registered Investment Advisory firm - (10/30/2019 Approved)

Georgia

Registered Investment Advisory firm - (12/6/2019 Terminated)

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Contact information

Main Address

327 Dahlonega Street, Suite 503 Pmb 538, Cumming, GA 30040

Mailing Address

Phone number

(770) 205-4394

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (5/5/2025)

FORM ADV PART 2A (5/5/2025)

Regulatory assets under management

Total Number of Accounts	2,275
AUM (Assets Under Management)	$ 334,137,900

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Patrick S. Paxton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Sturmer Paxton's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

VERAVEST INVESTMENT ADVISORS, INC.

VERAVEST INVESTMENTS, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

NYLIFE SECURITIES LLC

AMERICAN FRONTEER FINANCIAL CORPORATION

NORRIS & HIRSHBERG, INC.

SWINK & COMPANY, INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

TRUFP

State Registrations and Notice Filings

Exams

Series 65

Date: 7/17/1997

Series 63

Date: 7/6/1984

SIE

Date: 10/1/2018

Series 7

Date: 4/14/1984

Series 24

Date: 7/26/2011

Current Firm

TRUFP

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRUFP

TRUST BUT VERIFY

Contact information

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