Patrick S. Moder
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 Steven Moder, who also goes by Pat Moder, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2000. Patrick had worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2016 - February 17, 2023
KELLOGG ASSET MANAGEMENT, LLC
October 25, 2013 - June 12, 2019
ASSOCIATED INVESTMENT SERVICES, INC.
May 26, 2004 - November 9, 2011
ASSOCIATED INVESTMENT SERVICES, INC.
September 6, 2002 - August 7, 2003
BANC ONE SECURITIES CORPORATION
August 14, 2002 - August 7, 2003
BANC ONE SECURITIES CORPORATION
March 6, 2000 - July 23, 2002
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
KELLOGG ASSET MANAGEMENT, LLC
CRD#: 150031 / SEC#: 801-70113
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KELLOGG ASSET MANAGEMENT, LLC
CRD#: 150031 / SEC#: 801-70113
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 108 |
| AUM (Assets Under Management) | $ 2,651,598,328 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/15/2025 | ||
| 09/26/2024 | ||
| 08/21/2023 | ||
| 10/19/2022 |
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.
