Patrick O. Kevin
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 O'keeffe Kevin, who also goes by Patrick Okeefe Kevin, Patrick Okeeffe Kevin, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1984. Patrick had worked at 15 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2022 - June 2, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
April 14, 2022 - June 2, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
July 11, 2019 - April 14, 2022
CETERA WEALTH SERVICES, LLC
July 11, 2019 - April 14, 2022
CETERA WEALTH SERVICES, LLC
December 7, 2010 - May 24, 2019
FIFTH THIRD SECURITIES, INC.
September 3, 2010 - May 24, 2019
FIFTH THIRD SECURITIES, INC.
August 17, 2009 - August 30, 2010
PNC WEALTH MANAGEMENT LLC
December 1, 2001 - June 19, 2009
U.S. BANCORP INVESTMENTS, INC.
May 31, 2000 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
September 25, 1997 - May 31, 2000
CONSECO SECURITIES, INC.
April 16, 1996 - September 23, 1997
INVEST FINANCIAL CORPORATION
January 1, 1996 - April 29, 1996
PFS INVESTMENTS INC.
June 30, 1994 - October 26, 1995
CITIGROUP GLOBAL MARKETS INC.
April 17, 1991 - April 22, 1994
KESSLER ASHER CLEARING L.P.
June 23, 1989 - December 11, 1990
FIRST OPTIONS OF CHICAGO, INC.
June 7, 1988 - October 12, 1988
F.P. QUINN & CO.
November 8, 1985 - April 14, 1986
TRANSACTION SERVICES INC.
July 26, 1984 - October 15, 1985
GRUNTAL & CO., L.L.C.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
