PE
Patricia A. Erickson
APOLLON WEALTH MANAGEMENT
San Juan, PR 00901
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CRD#: 1210855
PE
Professional summary
Patricia Ann Erickson, who also goes by Pat Ann Erickson, Pat A. Erickson, Pat Ann Winzenburg, is a registered financial advisor currently at APOLLON WEALTH MANAGEMENT, LLC located in San Juan, .
Patricia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Patricia has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pat Ann Erickson | Pat A. Erickson | Pat Ann Winzenburg
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) APOLLON WEALTH MANAGEMENT, INVESTMENT RELATED, INVESTMENT ADVISORY, MT. PLEASANT, SC, FINANCIAL ADVISOR, 1/2021, 140 HOURS PER MONTH, 140 HOURS DURING TRADING HOURS, ADVISE AND GUIDE CLIENTS TO FINANCIAL INDEPENDENCE, COORDINATE WITH CLIENTS CPAs, ESTATE PLANNERS AND INSURANCE PROVIDERS TO ENSURE THEIR FULL FINANCIAL NEEDS ARE MET, MEET CLENT FOR REGULAR FINANCIAL REVIEWS TO ENSURE WE ARE ON TRACK TO MEET THEIR GOALS, ADVISE ON 529s, RETIREMENT STRATEGIES, MONITOR OUTSIDE HOLDINGS FOR BALANCE AND DIVERSIFICATION. 2) Cabot Lodge Securities LLC, Investment Related, New York, NY, Broker Dealer, Registered Representative, 12/2020, Appx. 10 Hrs/Mnth.
CRS (Client Relationship Summary) - RIA
Click below to view Patricia Ann Erickson's 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®
NoneExperience
Current
January 6, 2021 - Present
APOLLON WEALTH MANAGEMENT, LLC
Office #1: 151 Calle De San Francisco Suite 200, Pmb 5581, San Juan, PR 00901RIA
CRD#: 291902
San Juan, PR
Past
December 4, 2020 - October 16, 2023
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
Vieques, PR
Past
April 19, 2002 - December 31, 2020
CASCADE FINANCIAL MANAGEMENT, INC.
BD
CRD#: 119030
BOULDER, CO
Past
April 11, 2002 - February 12, 2021
CASCADE FINANCIAL MANAGEMENT, INC.
RIA
CRD#: 119030
BOULDER, CO
Past
May 28, 1999 - May 10, 2002
CASCADE INVESTMENT GROUP, INC.
BD
CRD#: 35844
COLORADO SPRINGS, CO
Past
March 24, 1988 - October 22, 1991
PIPER SANDLER & CO.
BD
CRD#: 665
Past
November 23, 1983 - June 24, 1999
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
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".
AW
APOLLON WEALTH MANAGEMENT, LLC
ADI DASSLER INTERNATIONAL FAMILY OFFICE | WESTSIDE WEALTH MANAGEMENT OF APOLLON | WEALTH EMPOWERMENT FINANCIAL GROUP | TREE CITY ADVISORS OF APOLLON | TELOS WEALTH ADVISORS | SUNSHINE WEALTH ADVISORS, LLC | PROPER WEALTH MANAGEMENT | PRISM ADVISORY GROUP | PODESTA CAPITAL APOLLON | PIERSHALE FINANCIAL GROUP OF APOLLON | PELLEY GROUP OF APOLLON | LIVETRAC | JE WILSON OF APOLLON | JASON YOUNG AND ASSOCIATES | CJL | CJ LAWRENCE, A DIVISION OF APOLLON WEALTH MANAGEMENT | CIC WEALTH | CATALYST APOLLON | CASCADE APOLLON | BLUECHIP WEALTH MANAGEMENT | APOLLON WEALTH MANAGEMENT, LLC | APOLLON NEW ENGLAND | APOLLON BRIDGEMARK
CRD#: 291902 / SEC#: 801-112350
RIA
Registered Investment Advisory firm - (1/22/2018 Approved)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
Colorado(1/6/2021)
IAR
Puerto Rico(10/18/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AW
APOLLON WEALTH MANAGEMENT, LLC
ADI DASSLER INTERNATIONAL FAMILY OFFICE | WESTSIDE WEALTH MANAGEMENT OF APOLLON | WEALTH EMPOWERMENT FINANCIAL GROUP | TREE CITY ADVISORS OF APOLLON | TELOS WEALTH ADVISORS | SUNSHINE WEALTH ADVISORS, LLC | PROPER WEALTH MANAGEMENT | PRISM ADVISORY GROUP | PODESTA CAPITAL APOLLON | PIERSHALE FINANCIAL GROUP OF APOLLON | PELLEY GROUP OF APOLLON | LIVETRAC | JE WILSON OF APOLLON | JASON YOUNG AND ASSOCIATES | CJL | CJ LAWRENCE, A DIVISION OF APOLLON WEALTH MANAGEMENT | CIC WEALTH | CATALYST APOLLON | CASCADE APOLLON | BLUECHIP WEALTH MANAGEMENT | APOLLON WEALTH MANAGEMENT, LLC | APOLLON NEW ENGLAND | APOLLON BRIDGEMARK
CRD#: 291902 / SEC#: 801-112350
RIA
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Contact information
Main Address
111 Coleman Blvd Suite 402, Mount Pleasant, SC 29464
Mailing Address
Phone number
(843) 579-0018
Established
Firm type
Fiscal year end
# of Employees
179
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20,798 |
| AUM (Assets Under Management) | $ 7,720,756,861 |
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.
