PF
Patrick J. Flanagan
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CRD#: 1443614
PF
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 Joseph Flanagan, CFP®, who also goes by Pat Flanagan, Patrick J Flanagan, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1986. Patrick had worked at 9 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Pat Flanagan | Patrick J Flanagan
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.
Outside Employment; Tax Preparation; Independent Preparer; Point Pleasant, NJ 08742; Not Investment Related; January 1885; 10-19 hours per month; 0 during trading hours/ Intuit Inc./Turbotax; Tax Expert to Support On Line tax Support; Point Pleasant, NJ 08742; Not Investment Related; January 2023; 20-39 hours per month; 0 during trading hours. Independent Insurance Brokering; Delaware Life; November 2015; Fixed Annuity/ Prudential; November 2007; Universal Life, Term Life, Fixed Annuity. Tax Activities; Patrick J. Flanagan, CFP®; Personal Income Tax Returns as independent Preparer. Am not a CPA and am not affiliated with any outside firm. Also prepare Estate and Inheritance Tax Returns for several Attorneys. Do not promote or advertise this activity. Have a CAF #, PTIN and E-File number. Some returns are prepared for Ameriprise clients. Also conduct Seminars covering General Income Taxes, Estate Taxes, Social Security subjects and updates, Beneficiary Planning, and General Planning Subjects. Seminars are not marketed to Ameriprise clients, do not discuss investments and does not mention my affiliation with Ameriprise. Seminars are done for Non-Profits, Social Groups and on an "as requested" basis from Community Groups.; January 1986; Not Investment Related. Other Business Activities; Patrick J, Flanagan, CFP(R); Operations, Management and Marketing Consulting for small businesses. Does not involve investments or Ameriprise. Will also involve writing Marketing pieces and assisting with Staffing and other non-investment activity other some accounting work.; Working directly with businesses and organizations on operational and marketing activities.; Neptune, NJ 07753; Not Investment Related; June 2022; 10-19 hours per month; 0 during trading hours/ Freelance Writing and Editing; Freelance Writer and Editor for Non-Investment related subjects. Will be working with community organizations and small businesses and local publications; reviewing and editing marketing materials, newsletters, human interest stories for area publications, essays, editing and revising training materials, speech writing and creating and reviewing website content using APL and MLA formatting when needed. Also work with High School and College students preparing applications and editing and advising on essays for admissions applications and assisting in writing resumes. Work will not be done for any Ameriprise clients, will not involve any investment related information, and my affiliation with Ameriprise will not be disclosed.; Freelance and done independently; Neptune, NJ 07735; Not Investment Related; July 2022; 1-9 hours per month; 0 during trading hours.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1989
Experience
Past
July 21, 2020 - November 21, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
West Orange, NJ
Past
June 17, 2020 - November 21, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
West Orange, NJ
Past
September 24, 2009 - June 19, 2020
OSAIC WEALTH, INC.
RIA
CRD#: 23131
WEST ORANGE, NJ
Past
November 2, 2007 - June 19, 2020
OSAIC WEALTH, INC.
BD
CRD#: 23131
WEST ORANGE, NJ
Past
January 27, 2006 - October 24, 2007
WORLD INVESTMENTS, LLC
RIA
CRD#: 20626
HAZLET, NJ
Past
June 16, 2003 - October 24, 2007
WORLD INVESTMENTS, LLC
BD
CRD#: 20626
LINCROFT, NJ
Past
May 14, 1999 - April 30, 2003
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
RED BANK, NJ
Past
May 15, 1996 - May 7, 1999
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
April 27, 1993 - May 9, 1996
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
BD
CRD#: 2864
BRYAN, OH
Past
October 13, 1989 - March 22, 1993
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
October 13, 1989 - March 22, 1993
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
June 21, 1988 - September 27, 1989
LCP CAPITAL CORP.
BD
CRD#: 14469
STATEN ISLAND, NY
Past
January 21, 1986 - March 29, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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".
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
CRD#: 6363 / SEC#: 801-28543, 8-16791
RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
CRD#: 6363 / SEC#: 801-28543, 8-16791
RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
9013rd Avenue South, Minneapolis, MN 55402
Mailing Address
5221 Ameriprise Financial Center, Minneapolis, MN 55474
Phone number
(612) 671-3131
Established
Delaware since 06/14/1971
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
14,000
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.
