Patrick Moggridge

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CRD#: 5645266

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Patrick Moggridge was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 2009. Patrick had worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 22, 2016 - October 25, 2016

LANE BROTHERS INVESTMENT COUNSEL

RIA

CRD#: 105968

Phoenix, AZ

Past

April 20, 2010 - July 18, 2013

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA

CRD#: 142373

COLUMBUS, OH

Past

March 18, 2009 - July 18, 2013

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

PHOENIX, AZ

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".

LANE BROTHERS INVESTMENT COUNSEL

LANE BROTHERS & CO INC | ROI & LANE LP | LANE TRADING PARTNERS LP | LANE BROTHERS INVESTMENT COUNSEL

CRD#: 105968 / SEC#: 801-130414

RIA

Registered Investment Advisory firm - (8/23/2024 Approved)

Arizona

Registered Investment Advisory firm - (11/12/2024 Terminated)

California

Registered Investment Advisory firm - (12/12/2024 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 3/2/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/23/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 3/17/2009

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LANE BROTHERS INVESTMENT COUNSEL

LANE BROTHERS & CO INC | ROI & LANE LP | LANE TRADING PARTNERS LP | LANE BROTHERS INVESTMENT COUNSEL

CRD#: 105968 / SEC#: 801-130414

RIA

Registered Investment Advisory firm - (8/23/2024 Approved)

Arizona

Registered Investment Advisory firm - (11/12/2024 Terminated)

California

Registered Investment Advisory firm - (12/12/2024 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2020 Terminated)

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Contact information

Main Address

1560 Plaza West Drive, Prescott, AZ 86303

Mailing Address

Phone number

(928) 776-8870

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (9/10/2025)

Regulatory assets under management

Total Number of Accounts	877
AUM (Assets Under Management)	$ 192,562,450

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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Patrick Moggridge

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LANE BROTHERS INVESTMENT COUNSEL

NATIONWIDE INVESTMENT ADVISORS, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

Primary Firm SEC Registration

LANE BROTHERS INVESTMENT COUNSEL

State Registrations and Notice Filings

Exams

Series 65

Date: 3/2/2016

Series 63

Date: 1/23/2010

Series 6

Date: 3/17/2009

Current Firm

LANE BROTHERS INVESTMENT COUNSEL

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LANE BROTHERS INVESTMENT COUNSEL

TRUST BUT VERIFY

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