PG
Patrick R. George
DAVIE KAPLAN WEALTH CARE ADVISORS
ROCHESTER, NY 14618
Some features on this profile are disabled
CRD#: 4334319
PG
Professional summary
Patrick Robert George, who also goes by Pat George, Patrick Robert George, is a registered financial advisor currently at DAVIE KAPLAN WEALTH CARE ADVISORS, LLC located in Rochester, New York and DKCB FINANCIAL ADVISORS, LLC located in Rochester, New York.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Patrick has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pat George | Patrick Robert George
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.
1) J.R. THIRD PARTY SUPPLEMENTAL NEEDS TRUST POSITION: TRUSTEE NATURE: TRUST INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 2/19/2010 DESCRIPTION: Trustee duties 2) DAVIE KAPLAN, CPA, P.C. POSITION: PRINCIPAL NATURE: CPA firm INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/01/2007 DESCRIPTION: CPA firm 3) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC POSITION: Investment Adviser Representative NATURE: RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 3/2001 DESCRIPTION: RIA 4) A.C.G. INSURANCE TRUST POSITION: TRUSTEE NATURE: TRUST INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 2/26/2010 DESCRIPTION: Trustee duties 5) L.S.S. TRUST FBO E.S. POSITION: TRUSTEE NATURE: TRUST INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 2/26/2010 DESCRIPTION: Trustee duties 6) DKCB FINANCIAL ADVISORS, LLC POSITION: REGISTERED INVESTMENT ADVISOR NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: null START DATE: 01/01/2001 DESCRIPTION: Provide financial services to clients 7) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (RIA) POSITION: Member, Investment adviser representative NATURE: RIA INVESTMENT RELATED: Yes START DATE: 3/20/2001 DESCRIPTION: RIA 8) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (INSURANCE) POSITION: Member NATURE: Insurance offering INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/04/2016 ADDRESS: 1000 first federal plaza, rochester NY , United States DESCRIPTION: In conjunction with activities
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Robert George's 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®
NoneExperience
Current
June 22, 2021 - Present
DAVIE KAPLAN WEALTH CARE ADVISORS, LLC
Office #1: 100 Meridian Centre Blvd. Suite 200, Rochester, NY 14618RIA
CRD#: 140436
ROCHESTER, NY
Current
June 25, 2021 - Present
DKCB FINANCIAL ADVISORS, LLC
Office #1: 100 Meridian Centre Blvd. Suite 200, Rochester, NY 14618RIA
CRD#: 126493
ROCHESTER, NY
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 100 Meridian Centre Blvd Suite 200, Rochester, NY 14618RIA
CRD#: 105644
FAIRPORT, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 100 Meridian Centre Blvd Suite 200, Rochester, NY 14618BD
CRD#: 13572
ROCHESTER, NY
Past
October 24, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
FAIRPORT, NY
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
ROCHESTER, NY
Past
February 7, 2001 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
ROCHESTER, NY
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
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
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Massachusetts(9/5/2025)
IAR
New York(6/22/2021)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
IAR
Texas(8/17/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Rochester, NY 14618TRUST BUT VERIFY
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