Patrick J. Connors

YORKTOWN MANAGEMENT AND RESEARCH CO

Seattle, WA

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CRD#: 2979426

Professional summary

Patrick Joseph Connors is a registered financial advisor currently at YORKTOWN MANAGEMENT AND RESEARCH CO INC located in Seattle, Washington and FORESIDE FUND SERVICES, LLC located in Forest, Virginia.

Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Patrick has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Joseph Connors'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®

None

Experience

Current

September 6, 2023 - Present

YORKTOWN MANAGEMENT AND RESEARCH CO INC

RIA

CRD#: 105083

Seattle, WA

Current

January 19, 2017 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 106 Annjo Court Suite A, Forest, VA 24551

CRD#: 46106

Forest, VA

Past

May 23, 2016 - December 31, 2020

YORKTOWN MANAGEMENT AND RESEARCH CO INC

RIA

CRD#: 105083

Seattle, WA

Past

January 7, 2015 - October 5, 2016

UNIFIED FINANCIAL SECURITIES, LLC

CRD#: 7868

INDIANAPOLIS, IN

Past

October 3, 2011 - October 9, 2014

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

SEATTLE, WA

Past

October 3, 2011 - October 9, 2014

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

March 20, 2008 - October 6, 2011

TOUCHSTONE ADVISORS INC

RIA

CRD#: 107028

CINCINNATI, OH

Past

March 20, 2008 - October 6, 2011

TOUCHSTONE SECURITIES, LLC

CRD#: 1526

CINCINNATI, OH

Past

May 10, 2007 - March 17, 2008

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

March 14, 2006 - May 2, 2007

ENTERPRISE FUND DISTRIBUTORS, INC.

CRD#: 883

ATLANTA, GA

Past

August 1, 2005 - March 3, 2006

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

KIRKLAND, WA

Past

April 28, 1999 - March 3, 2006

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

KIRKLAND, WA

Past

March 26, 1998 - January 20, 1999

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

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".

YORKTOWN MANAGEMENT AND RESEARCH CO INC

CRD#: 105083 / SEC#: 801-23441

RIA

Registered Investment Advisory firm - (2/11/1985 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.

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

Alaska
(1/19/2017)

Arizona
(2/15/2022)

California
(1/19/2017)

Colorado
(2/15/2022)

Hawaii
(1/19/2017)

Idaho
(1/19/2017)

Montana
(7/7/2023)

Nebraska
(2/13/2023)

Nevada
(1/19/2017)

New Mexico
(7/6/2023)

Oregon
(1/19/2017)

Texas
(2/13/2023)

IAR

Texas
(9/6/2023)

Utah
(2/15/2022)

Virginia
(1/19/2017)

Washington
(1/19/2017)

Wyoming
(7/6/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/29/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/8/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/23/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/24/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

YORKTOWN MANAGEMENT AND RESEARCH CO INC

CRD#: 105083 / SEC#: 801-23441

RIA

Registered Investment Advisory firm - (2/11/1985 Approved)

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Contact information

Main Address

106 Annjo Court Suite A, Forest, VA 24551-2630

Mailing Address

Phone number

(434) 846-1361

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 692,421,793

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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Advisor Monitoring

Firm Stability Insights

Patrick J. Connors

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Joseph Connors's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

YORKTOWN MANAGEMENT AND RESEARCH CO INC

UNIFIED FINANCIAL SECURITIES, LLC

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

TOUCHSTONE ADVISORS INC

TOUCHSTONE SECURITIES, LLC

GUARDIAN INVESTOR SERVICES LLC

ENTERPRISE FUND DISTRIBUTORS, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

AMERICAN CENTURY INVESTMENT SERVICES INC.

Primary Firm SEC Registration

YORKTOWN MANAGEMENT AND RESEARCH CO INC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/29/2005

Series 63

Date: 5/8/1998

SIE

Date: 10/1/2018

Series 7

Date: 6/23/2004

Series 6

Date: 3/24/1998

FINRA

Current Firm

YORKTOWN MANAGEMENT AND RESEARCH CO INC

Contact information

SEC notice filing (2 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

YORKTOWN MANAGEMENT AND RESEARCH CO INC

TRUST BUT VERIFY

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