Patricia K. Slocum

ARBORFI ADVISORS

Ann Arbor, MI 48104

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CRD#: 2592525

Professional summary

Patricia Kathleen Slocum, CFP®, who also goes by Katie Barrett, Kate Barrett Slocum, Kate Patricia Slocum, Kathleen Patricia Slocum, Katie P Slocum, Katie Patricia Slocum, Patricia Barrett Slocum, is a registered financial advisor currently at ARBORFI ADVISORS, LLC located in Ann Arbor, Michigan.

Patricia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Patricia has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patricia Kathleen Slocum's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2018

Experience

Current

September 16, 2019 - Present

ARBORFI ADVISORS, LLC

Office #1: 2395 S Huron Pkwy Suite 101, Ann Arbor, MI 48104

RIA

CRD#: 305009

Ann Arbor, MI

Past

March 20, 2017 - September 17, 2019

EXCHANGE CAPITAL MANAGEMENT INC

RIA

CRD#: 104875

ANN ARBOR, MI

Past

April 27, 1998 - November 7, 2014

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ANN ARBOR, MI

Past

June 5, 1996 - April 24, 1998

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

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".

ARBORFI ADVISORS, LLC

CRD#: 305009 / SEC#: 801-132056

RIA

Registered Investment Advisory firm - (2/28/2025 Approved)

Michigan

Registered Investment Advisory firm - (3/18/2025 Terminated)

Texas

Registered Investment Advisory firm - (3/11/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Michigan
(9/16/2019)

IAR

Texas
(1/12/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/20/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/20/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/7/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/4/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/27/2001

General Securities Principal Examination

Current Firm

ARBORFI ADVISORS, LLC

CRD#: 305009 / SEC#: 801-132056

RIA

Registered Investment Advisory firm - (2/28/2025 Approved)

Michigan

Registered Investment Advisory firm - (3/18/2025 Terminated)

Texas

Registered Investment Advisory firm - (3/11/2025 Terminated)

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Contact information

Main Address

2395 S Huron Pkwy Suite 101, Ann Arbor, MI 48104

Mailing Address

Phone number

(734) 345-6980

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (1/29/2025)

Regulatory assets under management

Total Number of Accounts	343
AUM (Assets Under Management)	$ 114,205,136

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.

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Firm Stability Insights

Patricia K. Slocum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patricia Kathleen Slocum's CRS (Customer Relationship Summary).

Certified licenses

Experience

EXCHANGE CAPITAL MANAGEMENT INC

CETERA INVESTMENT SERVICES LLC

KEY INVESTMENTS INC.

Primary Firm SEC Registration

ARBORFI ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/20/2017

Series 63

Date: 1/20/1997

SIE

Date: 11/7/2014

Series 7

Date: 6/4/1996

Series 24

Date: 7/27/2001

Current Firm

ARBORFI ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARBORFI ADVISORS, LLC

TRUST BUT VERIFY

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