Rachel A. Fitzpatrick

SVB WEALTH

Denver, CO 80202

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CRD#: 4255748

Professional summary

Rachel A Fitzpatrick, who also goes by Rachel A Fitzpatrick, Rachel Fitzpatrick, Rachel A Lyons, is a registered financial advisor currently at SVB WEALTH located in Denver, Colorado and FIRST CITIZENS INVESTOR SERVICES, INC. located in Denver, Colorado.

Rachel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Rachel has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rachel A Fitzpatrick | Rachel Fitzpatrick | Rachel A Lyons

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.

Cap For Kids; Not investment related; 1772 Sun Country Drive, Windsor, CO 80550; Non profit charity - Support children and their families who are facing childhood illness. Board Member; 09/2016;10 hours per week;none during trading hours. Provide family support and fundraise. I am currently also dually registered with SVB Wealth, an affilliate of SVB Investment services as a managing director beginning 12/2022

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rachel A Fitzpatrick'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

December 13, 2022 - Present

SVB WEALTH

Office #1: 1200 17th St Suite 1600, Denver, CO 80202

RIA

CRD#: 172832

Denver, CO

Current

January 4, 2024 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 1200 17th St 16th Floor, Denver, CO 80202

RIA

CRD#: 44430

Denver, CO

Past

August 5, 2022 - December 31, 2023

SVB INVESTMENT SERVICES INC.

CRD#: 168116

SAN FRANCISCO, CA

Past

April 16, 2020 - August 3, 2022

MORGAN STANLEY

RIA

CRD#: 149777

Greenwood Village, CO

Past

April 16, 2020 - August 3, 2022

MORGAN STANLEY

CRD#: 149777

Greenwood Village, CO

Past

December 10, 2013 - April 6, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

GREENWOOD VILLAGE, CO

Past

December 10, 2013 - April 6, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

GREENWOOD VILLAGE, CO

Past

March 6, 2003 - December 12, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

GREENWOOD VILLAGE, CO

Past

September 22, 2000 - December 12, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

GREENWOOD VILLAGE, CO

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".

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 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

IAR

Colorado
(12/13/2022)

Colorado
(1/4/2024)

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: 3/4/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

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Contact information

Main Address

53 State Street 28th Floor, Boston, MA 02109

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(617) 223-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)

SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	3,739
AUM (Assets Under Management)	$ 4,983,411,995

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
09/20/2024	Cover Page	Report
10/31/2022	Cover Page	Report

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

Rachel A. Fitzpatrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rachel A Fitzpatrick's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

SVB INVESTMENT SERVICES INC.

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SVB WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 3/4/2003

SIE

Date: 10/1/2018

Series 7

Date: 9/20/2000

FINRA

Current Firm

SVB WEALTH

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SVB WEALTH

TRUST BUT VERIFY

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