Patrick N. Elliott

UPRISE ADVISERS | Senior Wealth Advisor

Knoxville, TN

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CRD#: 4707940

Professional summary

Patrick Neil Elliott, CFP® is a registered financial advisor currently at UPRISE ADVISERS LLC located in Knoxville, Tennessee.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Patrick has worked at 10 firms and has passed the Series 66, Series 7 and Series 24 exams.

Biography

Patrick provides clients with comprehensive wealth management services to help them achieve their goals as well as integrated planning and strategies to help them grow and protect their wealth. He specializes in full-service life planning, including investment management, college planning, retirement planning, risk management, business continuation planning and estate planning.

Prior to joining Mariner Wealth Advisors, Patrick was senior lead planner at Facet Wealth Management, where he collaborated with specialists to deliver tailored wealth management plans for clients. Before that, he was a private wealth manager at Creative Planning, Inc. working with clients to help them achieve financial success. Earlier in his career, he was a wealth manager with USAA.

Patrick has an MBA from Arizona State University.

Question & Answer

What are your service offerings?

Estate Planning

Investment Planning

Insurance Planning

Employee and Employer Plan Ben...

Tax Planning

Retirement Planning

Comprehensive Financial Planni...

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 Neil Elliott'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®

CFP^®

CRD#: 129035

COLORADO SPRINGS, CO

Past

May 6, 2004 - November 10, 2004

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

FT. WORTH, TX

Past

March 2, 2004 - November 10, 2004

TD AMERITRADE CLEARING, INC.

CRD#: 5633

OMAHA, NE

Past

November 7, 2003 - January 16, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

DALLAS, TX

Past

November 5, 2003 - January 16, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

California
(6/5/2024)

IAR

Florida
(7/1/2024)

IAR

Nevada
(8/1/2024)

IAR

New York
(6/5/2024)

IAR

Tennessee
(8/1/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/17/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/8/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/8/2009

General Securities Principal Examination

Current Firm

UPRISE ADVISERS LLC

CRD#: 322959 / SEC#:

California

Registered Investment Advisory firm - (10/31/2022 Approved)

Florida

Registered Investment Advisory firm - (5/23/2023 Approved)

Nevada

Registered Investment Advisory firm - (10/11/2023 Approved)

New York

Registered Investment Advisory firm - (6/5/2023 Approved)

Tennessee

Registered Investment Advisory firm - (8/1/2024 Approved)

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Contact information

Main Address

548 Market Street Pmb 48325, San Francisco, CA 94104

Mailing Address

Phone number

(415) 226-9347

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Patrick N. Elliott

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Neil Elliott's CRS (Customer Relationship Summary).

Certified licenses

Experience

UPRISE ADVISERS LLC

ORIGIN INVESTMENT ADVISORY LLC

MARINER WEALTH

FACET

CREATIVE PLANNING

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE CLEARING, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/17/2007

Series 7

Date: 10/8/2007

Series 24

Date: 9/8/2009

Current Firm

UPRISE ADVISERS LLC

Contact information

Documents

Red Flags

Company Information

UPRISE ADVISERS LLC

TRUST BUT VERIFY

Contact information

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