Patrick W. Ennis
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 William Ennis, CFP®, who also goes by Pat Ennis, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1984. Patrick had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2010 - June 30, 2014
SENTINEL WEALTH MANAGEMENT, INC.
March 14, 2000 - April 1, 2003
STRATEGIC ADVISERS LLC
August 20, 1992 - April 1, 2003
FIDELITY BROKERAGE SERVICES LLC
August 29, 1991 - August 11, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 1991 - September 18, 1991
VOYA FINANCIAL ADVISORS, INC.
August 29, 1990 - January 28, 1991
PW SECURITIES, INC.
November 14, 1986 - August 24, 1990
CAPITOL SECURITIES MANAGEMENT, INC.
September 10, 1986 - November 24, 1986
FSC SECURITIES CORPORATION
January 30, 1984 - September 22, 1986
DERAND/PENNINGTON/BASS, INC.
Primary Firm SEC Registration
SENTINEL WEALTH MANAGEMENT, INC.
CRD#: 122235 / SEC#: 801-61393
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 8
Date: 1/4/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SENTINEL WEALTH MANAGEMENT, INC.
CRD#: 122235 / SEC#: 801-61393
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 338 |
| AUM (Assets Under Management) | $ 338,662,123 |
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.
