PM
Patrick E. Mckim
CETERA INVESTMENT ADVISERS LLC
DENVER, CO 80237
Some features on this profile are disabled
CRD#: 2215427
PM
Professional summary
Patrick Earl Mckim, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Denver, Colorado and CETERA ADVISORS LLC located in Denver, Colorado.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Patrick has worked at 7 firms and has passed the 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.
1)DBA: PROSPERA WEALTH MANAGEMENT SOLUTIONS, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, START JANUARY 2014, 40 PLUS HRS. PER WEEK - DURING TRADING HOURS, OWNER / FINANCIAL ADVISOR
2)FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, START JANUARY 2014, 5 HOURS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE AND LONG-TERM CARE
3) NAME OF OTHER BUSINESS: PATRICK MCKIM CFP INC.;
INVESTMENT RELATED: NO;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: FINANCIAL SERVICES;
START DATE: 1/1998;
POSITION/TITLE/RELATIONSHIP: OWNER;
APX NUMBER OF HOURS PER WEEK: 0;
APX NUMBER OF HOURS DURING TRADING HOURS: 0;
BRIEF DESCRIPTION OF DUTIES: DBA FOR TAX REPORTING PURPOSES ONLY;
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Earl Mckim'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: 1997
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4600 S Syracuse St Suite 900, Denver, CO 80237RIA
CRD#: 105644
DENVER, CO
Current
January 31, 2014 - Present
CETERA ADVISORS LLC
Office #1: 1165 Delaware Street Suite 245, Denver, CO 80204BD
CRD#: 10299
Denver, CO
Past
January 31, 2014 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
July 1, 2011 - February 3, 2014
GENEOS WEALTH MANAGEMENT, INC.
RIA
CRD#: 120894
DENVER, CO
Past
July 1, 2008 - February 3, 2014
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
DENVER, CO
Past
June 18, 2008 - July 28, 2011
FINANCIAL DESIGN & MANAGEMENT, INC.
RIA
CRD#: 113387
GREENWOOD VILLAGE, CO
Past
January 1, 1999 - April 1, 2008
ADRIAN & ASSOCIATES INC
RIA
CRD#: 107307
GREENWOOD VILLAGE, CO
Past
March 1, 1994 - July 1, 2008
OSAIC WEALTH, INC.
BD
CRD#: 23131
FORT COLLINS, CO
Past
February 24, 1992 - March 4, 1994
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
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(1/31/2014)
RR
California(1/31/2014)
RR
Colorado(2/6/2014)
IAR
Colorado(3/21/2024)
RR
Florida(9/2/2014)
RR
Idaho(12/21/2022)
RR
Iowa(1/5/2024)
RR
Kentucky(5/12/2022)
RR
Missouri(1/31/2014)
RR
New Mexico(6/23/2022)
RR
New York(5/25/2016)
RR
Pennsylvania(1/5/2018)
RR
South Dakota(9/29/2022)
RR
Tennessee(1/4/2023)
RR
Texas(1/31/2014)
IAR
Texas(3/21/2024)
RR
Wyoming(1/4/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
