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Patrick S. Gaines
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CRD#: 2829164
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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.
Patrick Stevenson Gaines, who also goes by Rick Gaines, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1997. Patrick had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rick Gaines
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
March 9, 2022 - December 8, 2025
GREAT VALLEY ADVISOR GROUP, LLC
RIA
CRD#: 123913
Boca Raton, FL
Past
February 22, 2016 - September 25, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
BOCA RATON, FL
Past
October 14, 2015 - October 16, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
BOCA RATON, FL
Past
August 3, 2011 - June 1, 2022
GAINES FINANCIAL GROUP
RIA
CRD#: 157037
BOCA RATON, FL
Past
April 6, 2011 - November 21, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
BOCA RATON, FL
Past
March 31, 2011 - November 12, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
BOCA RATON, FL
Past
March 18, 2008 - March 31, 2011
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
BOCA RATON, FL
Past
March 17, 2008 - March 31, 2011
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
BOCA RATON, FL
Past
September 19, 2006 - April 2, 2008
OSAIC FS, INC.
RIA
CRD#: 3870
BOCA RATON, FL
Past
May 13, 2002 - April 2, 2008
OSAIC FS, INC.
BD
CRD#: 3870
BOCA RATON, FL
Past
December 22, 2000 - June 10, 2002
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
BOCA RATON, FL
Past
December 22, 2000 - June 10, 2002
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
December 22, 2000 - June 10, 2002
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
October 1, 1997 - January 5, 2001
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
January 1, 1997 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
FORT WAYNE, IN
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".
GV
GREAT VALLEY ADVISOR GROUP, LLC
AFFIRMATIVE WEALTH PARTNERS | WOITA & ASSOCIATES | WILLOW RIVER WEALTH MANAGEMENT | WEDDINGTON ADVISORS | WEALTH RIDGE PLANNING | WAITE WEALTH MANAGEMENT | VALOR ASSET MANAGEMENT OF GREAT VALLEY ADVISOR GROUP | VALOR ASSET MANAGEMENT | US WEALTH ROPELEWSKI | US WEALTH QUIRK | US WEALTH OMAN | US WEALTH MANAGEMENT NEWPORT | US WEALTH MANAGEMENT NEW HAVEN | US WEALTH MANAGEMENT | US WEALTH HOWE | US WEALTH FARMINGTON VALLEY | US WEALTH CRAWFORD | US WEALTH CLARKE | US WEALTH BRAINTREE | UNION ADVISORS | U ADVISORS | TWO RIVERS WEALTH MANAGEMENT | TREND WISE WEALTH | TREASURE COAST WEALTH | THOMPSON FINANCIAL | THE RIDGEVIEW GROUP WEALTH MANAGEMENT | THE READY GROUP | THE NEXT LEVEL PLANNING & WEALTH MANAGEMENT | THE CAPITAL LEGACY, LLC | SWAN WEALTH MANAGEMENT GROUP, INC. | STRAIGHT FORWARD FINANCIAL | STONECREEK WEALTH MANAGEMENT | STONECREEK FINANCIAL | STONEBRIDGE WEALTH MANAGEMENT | SMILER FINANCIAL | SIMPLIFIED FINANCIAL LLC | SENTIENT WEALTH GROUP | SAPPHIRE WEALTH ADVISORY, INC. | SALT FINANCIAL, LLC | SALT FINANCIAL GROUP LLC | ROSENAU FINANCIAL ADVISORS | ROPE FINANCIAL | ROCK ISLAND FINANCIAL | PURSUIT WEALTH MANAGEMENT | PRESTIGE WEALTH PARTNERS LLC | PETERS FINANCIAL PLANNING CORPORATION | PEAKHAVEN ASSET MANAGEMENT | PARAGON WEALTH MANAGEMENT | P.M.A WEALTH MANAGEMENT | OPULENCE WEALTH MANAGEMENT | OPTIMAL WEALTH SERVICES | OC WEALTH MANAGEMENT, INC. | OAKPOINT WEALTH MANAGEMENT | NORTH POINT ADVISOR GROUP | NEXA FINANCIAL GROUP | NEW PERSPECTIVE FINANCIAL GROUP | NAUTIC FINANCIAL GROUP, LLC. | MILLSTONE WEALTH MANAGEMENT | MERIDIAN RETIREMENT PLANNING SERVICES | MERIDIAN FINANCIAL SERVICES | MDA WEALTH MANAGEMENT | MARON FINANCIAL SOLUTIONS | KNIGHT WEALTH MANAGEMENT, INC. | KAVE FAMILY FINANCIAL | KARP FINANCIAL SERVICES INC. | JUPITER WEALTH PLANNING | JERVEY GENESIS WEALTH MANAGEMENT SOLUTIONS | JEFFRUB WEALTH MANAGEMENT | J W JOSEPHS FINANCIAL | INNOVATIVE PLANNING GROUP - IPG | HART WEALTH MANAGEMENT | HART ASSET MANAGEMENT LLC | HARDING CAPITAL MANAGEMENT, LLC | HAAS FINANCIAL GROUP | GVA WEALTH MANAGEMENT | GVA RETIREMENT PARTNERS | GVA ASSET MANAGEMENT | GRIFFITHS FINANCIAL SERVICES | GREAT VALLEY WEALTH MANAGEMENT | GREAT VALLEY ADVISORS RETIREMENT PARTNERS | GREAT VALLEY ADVISORS 401K CONSULTING | GREAT VALLEY ADVISOR GROUP, LLC | GREAT VALLEY ADVISOR GROUP, INC. | GREAT VALLEY ADVISOR GROUP | GORNITZKY SAGE WEALTH MANAGEMENT GROUP, INC. | GAINES FINANCIAL GROUP | FORMATION FINANCIAL | FLEISCHAUER FINANCIAL MANAGEMENT, INC. | FITCH AND STRONG GROUP | FIRST LIGHT FINANCIAL | ENDEAVR WEALTH PLANNING | DSB ROCK ISLAND WEALTH MANAGEMENT, LLC. | DOYLESTOWN WEALTH MANAGEMENT, INC. | DOWNINGTOWN FINANCIAL | DIVERSIFIED WEALTH MANAGEMENT OF OK, LLC | COVINGTON ALSINA | CORNERSTONE PORTFOLIOS, LLC | CONSILIUM PRIVATE WEALTH | CLINTON WEALTH MANAGEMENT | CLEAR WEALTH PLANNING SOLUTIONS | CHRIS SMITH WEALTH MANAGEMENT | CHEW FINANCIAL GROUP | CHESTER SPRINGS FINANCIAL GROUP, LLC | CHESAPEAKE FINANCIAL PARTNERS | CAPPY'S FINANCIAL PLANNING LLC | CAPELLA WEALTH MANAGEMENT | BOYAR WEALTH MANAGEMENT, INC. | BLOSSOM FINANCIAL | BIG HORN FINANCIAL SERVICES, LLC | BEYOND WEALTH FINANCIAL ADVISORS | BERNICKE WEALTH MANAGEMENT - WOODBURY | BERNICKE WEALTH MANAGEMENT | BAY STREET WEALTH PARTNERS | BAVIELLO INVESTMENT MANAGEMENT | BANTZ FINANCIAL GROUP | BALANCED INVESTMENT STRATEGIES, INC. | ARTHUR LEA INVESTMENTS | AMERICAN WEALTH EXECUTIVES, LLC | AMERICAN WEALTH EXECUTIVES LLC | ALLIANCE WEALTH MANAGEMENT, INC. | ALLEN FINANCIAL SERVICES | ALAN PETER & ASSOCIATES
CRD#: 123913 / SEC#: 801-72270
RIA
Registered Investment Advisory firm - (4/8/2011 Approved)Delaware
Registered Investment Advisory firm - (4/12/2011 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2011 Terminated)New Jersey
Registered Investment Advisory firm - (4/13/2011 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
GV
GREAT VALLEY ADVISOR GROUP, LLC
AFFIRMATIVE WEALTH PARTNERS | WOITA & ASSOCIATES | WILLOW RIVER WEALTH MANAGEMENT | WEDDINGTON ADVISORS | WEALTH RIDGE PLANNING | WAITE WEALTH MANAGEMENT | VALOR ASSET MANAGEMENT OF GREAT VALLEY ADVISOR GROUP | VALOR ASSET MANAGEMENT | US WEALTH ROPELEWSKI | US WEALTH QUIRK | US WEALTH OMAN | US WEALTH MANAGEMENT NEWPORT | US WEALTH MANAGEMENT NEW HAVEN | US WEALTH MANAGEMENT | US WEALTH HOWE | US WEALTH FARMINGTON VALLEY | US WEALTH CRAWFORD | US WEALTH CLARKE | US WEALTH BRAINTREE | UNION ADVISORS | U ADVISORS | TWO RIVERS WEALTH MANAGEMENT | TREND WISE WEALTH | TREASURE COAST WEALTH | THOMPSON FINANCIAL | THE RIDGEVIEW GROUP WEALTH MANAGEMENT | THE READY GROUP | THE NEXT LEVEL PLANNING & WEALTH MANAGEMENT | THE CAPITAL LEGACY, LLC | SWAN WEALTH MANAGEMENT GROUP, INC. | STRAIGHT FORWARD FINANCIAL | STONECREEK WEALTH MANAGEMENT | STONECREEK FINANCIAL | STONEBRIDGE WEALTH MANAGEMENT | SMILER FINANCIAL | SIMPLIFIED FINANCIAL LLC | SENTIENT WEALTH GROUP | SAPPHIRE WEALTH ADVISORY, INC. | SALT FINANCIAL, LLC | SALT FINANCIAL GROUP LLC | ROSENAU FINANCIAL ADVISORS | ROPE FINANCIAL | ROCK ISLAND FINANCIAL | PURSUIT WEALTH MANAGEMENT | PRESTIGE WEALTH PARTNERS LLC | PETERS FINANCIAL PLANNING CORPORATION | PEAKHAVEN ASSET MANAGEMENT | PARAGON WEALTH MANAGEMENT | P.M.A WEALTH MANAGEMENT | OPULENCE WEALTH MANAGEMENT | OPTIMAL WEALTH SERVICES | OC WEALTH MANAGEMENT, INC. | OAKPOINT WEALTH MANAGEMENT | NORTH POINT ADVISOR GROUP | NEXA FINANCIAL GROUP | NEW PERSPECTIVE FINANCIAL GROUP | NAUTIC FINANCIAL GROUP, LLC. | MILLSTONE WEALTH MANAGEMENT | MERIDIAN RETIREMENT PLANNING SERVICES | MERIDIAN FINANCIAL SERVICES | MDA WEALTH MANAGEMENT | MARON FINANCIAL SOLUTIONS | KNIGHT WEALTH MANAGEMENT, INC. | KAVE FAMILY FINANCIAL | KARP FINANCIAL SERVICES INC. | JUPITER WEALTH PLANNING | JERVEY GENESIS WEALTH MANAGEMENT SOLUTIONS | JEFFRUB WEALTH MANAGEMENT | J W JOSEPHS FINANCIAL | INNOVATIVE PLANNING GROUP - IPG | HART WEALTH MANAGEMENT | HART ASSET MANAGEMENT LLC | HARDING CAPITAL MANAGEMENT, LLC | HAAS FINANCIAL GROUP | GVA WEALTH MANAGEMENT | GVA RETIREMENT PARTNERS | GVA ASSET MANAGEMENT | GRIFFITHS FINANCIAL SERVICES | GREAT VALLEY WEALTH MANAGEMENT | GREAT VALLEY ADVISORS RETIREMENT PARTNERS | GREAT VALLEY ADVISORS 401K CONSULTING | GREAT VALLEY ADVISOR GROUP, LLC | GREAT VALLEY ADVISOR GROUP, INC. | GREAT VALLEY ADVISOR GROUP | GORNITZKY SAGE WEALTH MANAGEMENT GROUP, INC. | GAINES FINANCIAL GROUP | FORMATION FINANCIAL | FLEISCHAUER FINANCIAL MANAGEMENT, INC. | FITCH AND STRONG GROUP | FIRST LIGHT FINANCIAL | ENDEAVR WEALTH PLANNING | DSB ROCK ISLAND WEALTH MANAGEMENT, LLC. | DOYLESTOWN WEALTH MANAGEMENT, INC. | DOWNINGTOWN FINANCIAL | DIVERSIFIED WEALTH MANAGEMENT OF OK, LLC | COVINGTON ALSINA | CORNERSTONE PORTFOLIOS, LLC | CONSILIUM PRIVATE WEALTH | CLINTON WEALTH MANAGEMENT | CLEAR WEALTH PLANNING SOLUTIONS | CHRIS SMITH WEALTH MANAGEMENT | CHEW FINANCIAL GROUP | CHESTER SPRINGS FINANCIAL GROUP, LLC | CHESAPEAKE FINANCIAL PARTNERS | CAPPY'S FINANCIAL PLANNING LLC | CAPELLA WEALTH MANAGEMENT | BOYAR WEALTH MANAGEMENT, INC. | BLOSSOM FINANCIAL | BIG HORN FINANCIAL SERVICES, LLC | BEYOND WEALTH FINANCIAL ADVISORS | BERNICKE WEALTH MANAGEMENT - WOODBURY | BERNICKE WEALTH MANAGEMENT | BAY STREET WEALTH PARTNERS | BAVIELLO INVESTMENT MANAGEMENT | BANTZ FINANCIAL GROUP | BALANCED INVESTMENT STRATEGIES, INC. | ARTHUR LEA INVESTMENTS | AMERICAN WEALTH EXECUTIVES, LLC | AMERICAN WEALTH EXECUTIVES LLC | ALLIANCE WEALTH MANAGEMENT, INC. | ALLEN FINANCIAL SERVICES | ALAN PETER & ASSOCIATES
CRD#: 123913 / SEC#: 801-72270
RIA
Registered Investment Advisory firm - (4/8/2011 Approved)Delaware
Registered Investment Advisory firm - (4/12/2011 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2011 Terminated)New Jersey
Registered Investment Advisory firm - (4/13/2011 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 Pennsylvania Ave Suite 202, Wilmington, DE 19806
Mailing Address
Phone number
(302) 483-7200
Established
Firm type
Fiscal year end
# of Employees
333
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 33,099 |
| AUM (Assets Under Management) | $ 9,732,148,499 |
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.
