KP
Keith W. Patterson
CETERA INVESTMENT ADVISERS LLC
SUGAR LAND, TX 77478
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CRD#: 2131574
KP
Professional summary
Keith Wayne Patterson is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sugar Land, Texas and CETERA WEALTH SERVICES, LLC located in Sugar Land, Texas.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Keith has worked at 15 firms and has passed the Series 63, SIE, Series 7, Series 51 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.
1) KWP Capital, LLC~NIR~6526 Greatwood Pkwy; Unit C~Sugar Land~TX~77479~Other~Other~5/27/2015~10hrs~10hrs~Paying expenses and payroll. Managing business affairs, managing bank account, managing business profitability, filing taxes with this entity. 2) Post Oak Capital Group, LLC~IR~6526 Greatwood Pkwy; Unit C~Sugar Land~TX~77479~Other~Other~5/22/2015~150hrs~120hrs~Help clients invest their assets according to their investment goals and needs. All investments will be offered through our affiliation with Avantax. 3) FIRST INCOME ADVISORS POSITION: Independent Contractor NATURE: ~; First Income Advisors help Agents better serve the public with Life, Annuity, and LTC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 04/01/2017 ADDRESS: 6526 Greatwood Parkway, Unit C, Sugar Land TX 77479, United States DESCRIPTION: ~; Marketing, Consulting, Advising, Planning, Sales, and Follow Up. 4) FORT BEND CHRISTIAN ACADEMY BOOSTER CLUB POSITION: Treasurer NATURE: Maintaining Bank Account records for Booster Club...which raises money for Athletic Teams of Fort Bend Christian Academy (where my daughter attends). INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 01/17/2023 ADDRESS: 1250 7th Street, Sugar Land TX 77478, United States DESCRIPTION: Checks and Balances for Booster Club Bank account, signing off on checks, monthly reports 5) KWP CAPITAL, LLC POSITION: President NATURE: Office Condo Rental INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 05/02/2022 ADDRESS: 6526 Greatwood Pkwy, Unit C, Sugar Land TX 77479, United States DESCRIPTION: I own a business condominium. I rent out one of the offices in the condo to a business owner who is not in the financial services industry.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Wayne Patterson'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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 402 Brooks Street, Sugar Land, TX 77478RIA
CRD#: 105644
SUGAR LAND, TX
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6526 Greatwood Pkwy Unit C, Sugar Land, TX 77479BD
CRD#: 13572
Sugar Land, TX
Past
October 7, 2020 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Sugar Land, TX
Past
September 15, 2020 - September 16, 2020
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Sugar Land, TX
Past
September 14, 2020 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Sugar Land, TX
Past
July 17, 2020 - October 9, 2020
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
SUGAR LAND, TX
Past
July 17, 2020 - October 9, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
SUGARLAND, TX
Past
January 5, 2012 - July 17, 2020
INVESTACORP ADVISORY SERVICES INC
RIA
CRD#: 109011
Sugar Land, TX
Past
January 5, 2012 - July 17, 2020
INVESTACORP, INC.
BD
CRD#: 7684
SUGARLAND, TX
Past
April 21, 2011 - December 31, 2011
GENEOS WEALTH MANAGEMENT, INC.
RIA
CRD#: 120894
SUGAR LAND, TX
Past
April 13, 2011 - December 31, 2011
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
SUGAR LAND, TX
Past
August 1, 2006 - April 18, 2011
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
SUGARLAND, TX
Past
August 1, 2006 - April 18, 2011
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
SUGARLAND, TX
Past
October 30, 2002 - July 31, 2006
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
October 7, 2002 - July 31, 2006
LPL FINANCIAL LLC
BD
CRD#: 6413
HOUSTON, TX
Past
September 3, 1999 - October 22, 2002
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
September 3, 1999 - October 22, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 14, 1994 - September 13, 1999
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
May 27, 1992 - November 22, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 17, 1991 - May 11, 1992
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
New York(9/5/2025)
RR
Oklahoma(9/5/2025)
RR
Oregon(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(10/29/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
