Patricia K. Tobin
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.
Patricia Kaye Tobin, CFP® was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1993. Patricia had worked at 2 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2019
Experience
October 24, 2019 - June 26, 2025
ANNEX WEALTH MANAGEMENT, LLC
January 28, 1993 - January 19, 1995
FIRSTAR INVESTMENT SERVICES,INC.
Primary Firm SEC Registration
ANNEX WEALTH MANAGEMENT, LLC
CRD#: 127987 / SEC#: 801-63505
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
Current Firm
ANNEX WEALTH MANAGEMENT, LLC
CRD#: 127987 / SEC#: 801-63505
Contact information
SEC notice filing (33 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 19,997 |
| AUM (Assets Under Management) | $ 6,945,737,689 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2025 | ||
| 05/22/2024 | ||
| 12/18/2023 | ||
| 03/16/2023 |
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.
