PE
Patricia A. Erwin
WORLD EQUITY GROUP
SPARKS, NV
Some features on this profile are disabled
CRD#: 4844051
PE
Professional summary
Patricia Ann Erwin, who also goes by Patricia Ann Walworth, is a registered financial advisor currently at WORLD EQUITY GROUP, INC. located in Sparks, Nevada.
Patricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Patricia has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patricia Ann Walworth
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)FIXED INSURANCE SALES. 4894 SPARKS BLVD., SUITE 103, SPARKS, NV 89436, INVESTMENT RELATED. START DATE: 6/2005. INSURANCE PRODUCER. SALE OF LIFE AND LONG TERM CARE THROUGH VARIOUS INSURANCE CARRIERS. APPROX. HRS/MO: 7. APPROX. HRS/MO DURING SECURITIES TRADING: 1.
2) TIGER WEALTH MANAGEMENT LLC. 4894 SPARKS BLVD., SUITE 103, SPARKS, NV 89436, INVESTMENT RELATED. START DATE: 12/2006. DBA NAME. MANAGER. FILE YEARLY BUSINESS REGISTRATION. APPROX. HRS/MO: 0. APPROX. HRS/MO DURING SECURITIES TRADING: 0.
CRS (Client Relationship Summary) - RIA
Click below to view Patricia Ann Erwin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patricia Ann Erwin'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
November 17, 2006 - Present
WORLD EQUITY GROUP, INC.
RIA
BD
CRD#: 29087
SPARKS, NV
Current
November 17, 2006 - Present
WORLD EQUITY GROUP, INC.
RIA
BD
CRD#: 29087
SPARKS, NV
Past
August 25, 2005 - November 27, 2006
WADDELL & REED
RIA
CRD#: 866
RENO, NV
Past
August 5, 2005 - November 27, 2006
WADDELL & REED
BD
CRD#: 866
RENO, NV
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".
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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(2/4/2008)
IAR
California(2/28/2019)
RR
Connecticut(7/6/2011)
IAR
Connecticut(2/28/2019)
RR
Florida(11/3/2021)
IAR
Florida(11/3/2021)
RR
Idaho(5/25/2010)
IAR
Idaho(3/1/2019)
IAR
Michigan(6/5/2025)
RR
Nevada(11/17/2006)
IAR
Nevada(11/17/2006)
RR
Texas(4/4/2018)
IAR
Texas(2/28/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
425 N Martingale Road Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Road Suite 1200, Schaumburg, IL 60173
Phone number
(847) 342-1700
Established
Illinois since 09/13/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
170
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
