Patrick W. Scanlon

VEST FINANCIAL LLC

WENHAM, MA

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CRD#: 5455697

Professional summary

Patrick William Scanlon, AIF®, CIMA®, who also goes by Patrick William Scanlon, is a registered financial advisor currently at VEST FINANCIAL LLC located in Wenham, Massachusetts and VEST SECURITIES, LLC located in Mclean, Virginia.

Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Patrick has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Patrick William Scanlon

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) VEST FINANCIAL, LLC - HEAD OF RETIREMENT & SUB-ADVISORY; MCLEAN, VA BASED AFFILIATED ENTITY PROVIDING ASSET MANAGEMENT SERVICES; ROLE IS TO MNAGE VEST'S RETIREMENT AND SUB-ADVISORY BUSINESS; DEVOTES APPROXIMATELY 210 HOURS/MONTH, OF WHICH APPROXIMATELY 120 HOURS/MONTH ARE DURING NORMAL TRADING HOURS; INVESTMENT-RELATED BUSINESS; STARTED 12/2024.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick William Scanlon'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®

AIF^®

Accredited Investment Fiduciary

CIMA^®

Certified Investment Management Analyst

Experience

Current

May 7, 2025 - Present

VEST FINANCIAL LLC

RIA

CRD#: 165976

WENHAM, MA

Current

January 19, 2025 - Present

VEST SECURITIES, LLC

Office #1: 8350 Broad Street Suite 240, Mclean, VA 22101

CRD#: 317379

Mclean, VA

Past

January 23, 2020 - January 24, 2024

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106629

BOSTON, MA

Past

January 16, 2020 - January 24, 2024

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

Boston, MA

Past

May 29, 2019 - January 10, 2020

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

BOSTON, MA

Past

February 11, 2019 - January 8, 2020

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

April 24, 2014 - January 10, 2020

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

June 25, 2010 - October 28, 2013

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

BOSTON, MA

Past

May 1, 2010 - October 28, 2013

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

April 1, 2010 - May 1, 2010

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Past

January 31, 2008 - March 26, 2010

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

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".

VEST FINANCIAL LLC

CBOE VEST FINANCIAL LLC | VEST FINANCIAL LLC | VEST | CONVEXCEL ASSET MANAGEMENT LLC | CONVEXCEL

CRD#: 165976 / SEC#: 801-77463

RIA

Registered Investment Advisory firm - (1/3/2013 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

Massachusetts
(1/19/2025)

IAR

Massachusetts
(5/7/2025)

Virginia
(1/19/2025)

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: 6/24/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/13/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/30/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VEST FINANCIAL LLC

CBOE VEST FINANCIAL LLC | VEST FINANCIAL LLC | VEST | CONVEXCEL ASSET MANAGEMENT LLC | CONVEXCEL

CRD#: 165976 / SEC#: 801-77463

RIA

Registered Investment Advisory firm - (1/3/2013 Approved)

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Contact information

Main Address

8350 Broad St Suite 240, Mclean, VA 22102-5150

Mailing Address

Phone number

(855) 979-6060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/5/2025)

Regulatory assets under management

Total Number of Accounts	145
AUM (Assets Under Management)	$ 39,304,330,239

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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Firm Stability Insights

Patrick W. Scanlon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick William Scanlon's CRS (Customer Relationship Summary).

Certified licenses

Experience

VEST SECURITIES, LLC

PUTNAM INVESTMENT MANAGEMENT, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BOFA DISTRIBUTORS, INC.

EATON VANCE DISTRIBUTORS, INC.

Primary Firm SEC Registration

VEST FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/24/2010

Series 63

Date: 3/13/2008

SIE

Date: 10/1/2018

Series 7

Date: 5/19/2010

Series 6

Date: 1/30/2008

FINRA

Current Firm

VEST FINANCIAL LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VEST FINANCIAL LLC

TRUST BUT VERIFY

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