PM
Patrick K. Mcilrath
ALLIANCE ADVISORY & SECURITIES
Westlake Village, CA 91361
Some features on this profile are disabled
CRD#: 2359351
PM
Professional summary
Patrick Kelly Mcilrath, who also goes by Patrick Kelly Mcilath, is a registered financial advisor currently at ALLIANCE ADVISORY & SECURITIES, INC. located in Westlake Village, California.
Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Patrick has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 2 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patrick Kelly Mcilath
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 Arie Financial Group Investment Related: No Address: 28293 Timothy Drive, Santa Clarita, CA 91350 Business Nature: Insurance Sales - Life, Health, Disability & Fixed Annuity products Position: Owner/President Start Date: 2005 Hours/Month: 140 Hours/Month during trading hours: 100 Description of duties: Insurance Sales - Life, Health, Disability & Fixed Annuity products
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Kelly Mcilrath'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 12, 2006 - Present
ALLIANCE ADVISORY & SECURITIES, INC.
Office #1: 31248 E. Oak Crest Drive Ste 100, Westlake Village, CA 91361RIA
CRD#: 18835
Westlake Village, CA
Past
May 20, 2005 - June 21, 2021
ALLIANCE ADVISORY & SECURITIES, INC.
BD
CRD#: 18835
WESTLAKE VILLAGE, CA
Past
July 20, 2001 - May 27, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
June 1, 1998 - May 27, 2005
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
December 19, 1997 - May 27, 2005
OSAIC FA, INC.
RIA
CRD#: 3978
WESTLAKE VILLAGE, CA
Past
July 26, 1993 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
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".
AA
ALLIANCE ADVISORY & SECURITIES, INC.
ALLIANCE ADVISORY & SECURITIES, INC | PETRA FINANCIAL GROUP, INC. | DEVOTED CAPITAL | ALLIANCE ENTRUST, INC. | ALLIANCE ENTRUST | ALLIANCE ADVISORY & SECURITIES, LLC | ALLIANCE ADVISORY & SECURITIES, INC.
CRD#: 18835 / SEC#: 801-67105, 8-36999
RIA
Registered Investment Advisory firm - SEC (9/5/2006 Approved)California
Registered Investment Advisory firm - SEC (9/11/2006 Terminated)Texas
Registered Investment Advisory firm - SEC (9/5/2006 Terminated)BD
Terminated by SEC on 08/22/2021
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.Highlighted states indicate IAR registrations
IAR
California(10/31/2008)
IAR
Nevada(4/26/2024)
IAR
Washington(12/17/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/28/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 3/15/1996
Non-Member General Securities ExaminationGeneral Industry/Product Exam
Current Firm
AA
ALLIANCE ADVISORY & SECURITIES, INC.
ALLIANCE ADVISORY & SECURITIES, INC | PETRA FINANCIAL GROUP, INC. | DEVOTED CAPITAL | ALLIANCE ENTRUST, INC. | ALLIANCE ENTRUST | ALLIANCE ADVISORY & SECURITIES, LLC | ALLIANCE ADVISORY & SECURITIES, INC.
CRD#: 18835 / SEC#: 801-67105, 8-36999
RIA
Registered Investment Advisory firm - SEC (9/5/2006 Approved)California
Registered Investment Advisory firm - SEC (9/11/2006 Terminated)Texas
Registered Investment Advisory firm - SEC (9/5/2006 Terminated)BD
Terminated by SEC on 08/22/2021
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
31248 E. Oak Crest Drive Ste 100, Westlake Village, CA 91361
Mailing Address
Phone number
(805) 371-8020
Established
California since 05/12/1982
Firm type
Corporation
Fiscal year end
June
# of Employees
25
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,728 |
| AUM (Assets Under Management) | $ 639,384,881 |
Disclosures
| Regulatory Event | 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
ALLIANCE ADVISORY & SECURITIES, INC.
CRD#: 18835Westlake Village, CA 91361TRUST BUT VERIFY
Monitor Patrick Mcilrath
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
