Patrick J. Smarjesse

DAVID VAUGHAN INVESTMENTS

PEORIA, IL 61614

Some features on this profile are disabled

CRD#: 1385119

Professional summary

Patrick Joseph Smarjesse, who also goes by Patrick Joseph Sharjesse, Patrick J Smarjesse, is a registered financial advisor currently at DAVID VAUGHAN INVESTMENTS, LLC located in Peoria, Illinois.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Patrick has worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Patrick Joseph Sharjesse | Patrick J Smarjesse

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Joseph Smarjesse'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

December 28, 1998 - Present

DAVID VAUGHAN INVESTMENTS, LLC

Office #1: 5823 N. Forest Park Drive, Peoria, IL 61614

RIA

CRD#: 105990

PEORIA, IL

Past

January 29, 1991 - January 1, 1996

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

October 6, 1989 - December 31, 1990

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

March 31, 1989 - August 24, 1989

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

January 11, 1989 - March 31, 1989

LOWRY FINANCIAL SERVICES CORPORATION

CRD#: 7291

NORTH PALM BEACH, FL

Past

August 20, 1985 - December 6, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

DAVID VAUGHAN INVESTMENTS, LLC

DAVID VAUGHAN INVESTMENTS INC | DAVID VAUGHAN INVESTMENTS, LLC

CRD#: 105990 / SEC#: 801-12642

RIA

Registered Investment Advisory firm - (3/17/1977 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

Florida
(11/9/2016)

IAR

Illinois
(12/28/1998)

IAR

Texas
(5/26/2022)

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

Series 63

Date: 9/6/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/17/1985

General Securities Representative Examination

Current Firm

DAVID VAUGHAN INVESTMENTS, LLC

DAVID VAUGHAN INVESTMENTS INC | DAVID VAUGHAN INVESTMENTS, LLC

CRD#: 105990 / SEC#: 801-12642

RIA

Registered Investment Advisory firm - (3/17/1977 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5823 N Forest Park Drive, Peoria, IL 61614-3559

Mailing Address

Phone number

(309) 685-0033

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DVI FORM ADV PART 2A BROCHURE (10/3/2025)

Regulatory assets under management

Total Number of Accounts	4,020
AUM (Assets Under Management)	$ 4,930,082,357

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/22/2025	Cover Page	Report
11/20/2023	Cover Page	Report
01/03/2023	Cover Page	Report

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.

Similar Advisors

Subhrajit Goon

AIMCDONNAUGH & CO. INC.

IAR

Berkeley heights, NJ

Michael Aves

LPL FINANCIAL LLC

IAR

Gaithersburg, MD

James Marshall

MARSHALL WEALTH MANAGEMENT, LLC

IAR

SUGAR LAND, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Patrick J. Smarjesse

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Joseph Smarjesse's CRS (Customer Relationship Summary).

Certified licenses

Experience

SII INVESTMENTS, INC.

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

LOWRY FINANCIAL SERVICES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

DAVID VAUGHAN INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/6/1985

Series 7

Date: 8/17/1985

Current Firm

DAVID VAUGHAN INVESTMENTS, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DAVID VAUGHAN INVESTMENTS, LLC

TRUST BUT VERIFY

Similar Advisors