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Patricia Jane Ludgate

Patricia J. Ludgate

SOVEREIGN FINANCIAL GROUP
WYOMISSING, PA 19610
Some features on this profile are disabled
CRD#: 3171174
Patricia Jane Ludgate

Professional summary

Patricia Jane Ludgate, CFP®, who also goes by Patricia Js Ludgate, Patricia Salvatore Ludgate, Tricia Js Ludgate, Patricia Jane Salvatore, Trish Salvatore, is a registered financial advisor currently at SOVEREIGN FINANCIAL GROUP, INC. located in Wyomissing, Pennsylvania.

Patricia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Patricia has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Patricia Js Ludgate | Patricia Salvatore Ludgate | Tricia Js Ludgate | Patricia Jane Salvatore | Trish Salvatore

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.
12/10/2009 - NON-VARIABLE INSURANCE - INSURANCE AGENT - SALE OF INSURANCE PRODUCTS, SPECIFICALLY TERM LIFE, DISABILITY AND LTC. - INCLUDED IN SALARY - SEE COMMENTS - 1% OF TIME SPENT - WYOMISSING, PA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patricia Jane Ludgate'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: 2019

Experience

Current

October 16, 2020 - Present

SOVEREIGN FINANCIAL GROUP, INC.

Office #1: 833 North Park Road, Wyomissing, PA 19610
RIA
CRD#: 294314
WYOMISSING, PA
Past

October 14, 2013 - October 28, 2020

FINANCIAL PLANNING ADVISORS INC.

RIA
CRD#: 121691
WYOMISSING, PA
Past

September 12, 2013 - September 29, 2014

LPL FINANCIAL LLC

RIA
CRD#: 6413
WYOMISSING, PA
Past

September 8, 2009 - October 28, 2020

LPL FINANCIAL LLC

BD
CRD#: 6413
WYOMISSING, PA
Past

November 13, 2003 - September 8, 2009

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
WYOMISSING, 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".
SF
SOVEREIGN FINANCIAL GROUP, INC.
CHEDESTER FINANCIAL | VENTURE STONE WEALTH MANAGEMENT | TAILORED WEALTH | STONE ARCH WEALTH ADVISORS, LLC | SOVEREIGN FINANCIAL GROUP, INC. | MASSEY FINANCIAL SERVICES

CRD#: 294314 / SEC#: 801-114529

RIA
Registered Investment Advisory firm - (1/31/2019 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.

Highlighted states indicate IAR registrations

IAR
Pennsylvania
(10/16/2020)
IAR
Texas
(10/16/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/6/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/30/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/11/2003
General Securities Representative Examination

Current Firm

SF
SOVEREIGN FINANCIAL GROUP, INC.
CHEDESTER FINANCIAL | VENTURE STONE WEALTH MANAGEMENT | TAILORED WEALTH | STONE ARCH WEALTH ADVISORS, LLC | SOVEREIGN FINANCIAL GROUP, INC. | MASSEY FINANCIAL SERVICES

CRD#: 294314 / SEC#: 801-114529

RIA
Registered Investment Advisory firm - (1/31/2019 Approved)
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Contact information

Main Address
35 West Broad Street Suite 100, Stamford, CT 06902
Mailing Address
Phone number
(888) 765-8180
Established
Firm type
Fiscal year end
# of Employees
26

SEC notice filing (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SOVEREIGN FINANCIAL GROUP, INC FIRM BROCHURE (10/31/2025)

Regulatory assets under management

Total Number of Accounts3,304
AUM (Assets Under Management)$ 882,702,145

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

SOVEREIGN FINANCIAL GROUP, INC.

CRD#: 294314Wyomissing, PA 19610

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