PL
Patrick N. Lundy
THE OAK RIDGE FINANCIAL SERVICES GROUP
Woodbury, MN 55125
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CRD#: 1595203
PL
Professional summary
Patrick Neal Lundy, CFP® is a registered financial advisor currently at THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. located in Woodbury, Minnesota.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Patrick has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Neal Lundy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick Neal Lundy's 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®
CFP®
Start date: 2009
Experience
Current
April 12, 2016 - Present
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
Office #1: 539 Bielenberg Dr - Suite 100, Woodbury, MN 55125RIA
BD
CRD#: 42941
Woodbury, MN
Current
April 12, 2016 - Present
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
Office #1: 539 Bielenberg Dr - Suite 100, Woodbury, MN 55125RIA
BD
CRD#: 42941
Woodbury, MN
Past
August 30, 2012 - April 15, 2016
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
SHOREVIEW, MN
Past
August 30, 2012 - April 15, 2016
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SHOREVIEW, MN
Past
September 28, 2004 - September 11, 2012
ASSOCIATED INVESTMENT SERVICES, INC.
RIA
CRD#: 1464
EAGAN, MN
Past
October 13, 1999 - September 11, 2012
ASSOCIATED INVESTMENT SERVICES, INC.
BD
CRD#: 1464
EAGAN, MN
Past
April 20, 1998 - October 1, 1999
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, PA
Past
September 3, 1997 - March 26, 1998
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
February 5, 1996 - September 3, 1997
U.S. BANCORP SECURITIES
BD
CRD#: 17439
PORTLAND, OR
Past
October 27, 1994 - April 5, 1995
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
April 14, 1988 - June 10, 1994
FIRSTAR INVESTMENT SERVICES,INC.
BD
CRD#: 14536
MORRIS PLAINS, NJ
Past
December 26, 1986 - February 29, 1988
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
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".
TO
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC
CRD#: 42941 / SEC#: 801-80809, 8-50082
RIA
Registered Investment Advisory firm - SEC (1/15/2015 Approved)Florida
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Montana
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Washington
Registered Investment Advisory firm - SEC (12/14/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2015 Terminated)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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(2/1/2023)
RR
Arizona(8/23/2019)
RR
Colorado(3/7/2023)
IAR
Colorado(8/12/2024)
RR
Florida(1/26/2022)
IAR
Minnesota(4/12/2016)
RR
Minnesota(7/25/2016)
RR
North Dakota(2/1/2023)
RR
Oregon(8/30/2016)
IAR
Oregon(10/19/2023)
RR
South Carolina(9/13/2022)
IAR
South Carolina(10/19/2023)
RR
Texas(7/23/2018)
IAR
Texas(8/7/2024)
RR
Washington(9/23/2024)
RR
Wisconsin(4/12/2016)
IAR
Wisconsin(10/19/2023)
RR
Wyoming(12/1/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TO
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC
CRD#: 42941 / SEC#: 801-80809, 8-50082
RIA
Registered Investment Advisory firm - SEC (1/15/2015 Approved)Florida
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Montana
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Washington
Registered Investment Advisory firm - SEC (12/14/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
701 Xenia Ave. South, Suite 100 Suite 100, Golden Valley, MN 55416-1089
Mailing Address
701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089
Phone number
(763) 923-2200
Established
Minnesota since 03/13/1997
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
60
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,501 |
| AUM (Assets Under Management) | $ 456,416,227 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
Company Information
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
CRD#: 42941Woodbury, MN 55125TRUST BUT VERIFY
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