Patrick M. House
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 Mark House, who also goes by Pat House, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1985. Patrick had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 7, Series 3, Series 5 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2014 - April 26, 2019
COMPASS ION ADVISORS, LLC
December 2, 2008 - January 29, 2014
COMPREHENSIVE CAPITAL MANAGEMENT, INC.
December 2, 2008 - March 27, 2019
APW CAPITAL, INC.
September 7, 2001 - December 31, 2008
EGE ADVISORS, LTD.
July 13, 2001 - December 31, 2008
EMERGING GROWTH EQUITIES, LTD.
December 6, 1993 - July 24, 2001
INVESTEC INC.
May 26, 1989 - November 23, 1993
PRUDENTIAL EQUITY GROUP, LLC
August 16, 1985 - June 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
COMPASS ION ADVISORS, LLC
CRD#: 166418 / SEC#: 801-78503
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 15
Date: 10/24/1985
Foreign Currency Options ExaminationSeries 5
Date: 9/19/1985
Interest Rate Options ExaminationCurrent Firm
COMPASS ION ADVISORS, LLC
CRD#: 166418 / SEC#: 801-78503
Contact information
SEC notice filing (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,547 |
| AUM (Assets Under Management) | $ 1,328,104,988 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/07/2024 | ||
| 04/17/2024 | ||
| 12/22/2023 |
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.
