Patrick M Grooms
CFP®Professional Summary
Patrick M Grooms, CFP® is a registered financial advisor currently at WESTWIND CAPITAL located in Las Cruces, New Mexico. Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Patrick has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
MORGAN STANLEY
WORTHPOINTE
ONEAMERICA SECURITIES, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
MORGAN STANLEY
WORTHPOINTE
ONEAMERICA SECURITIES, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
MORGAN STANLEY
WORTHPOINTE
ONEAMERICA SECURITIES, INC.
Disclosures on record.
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.
Similar Advisors
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
MORGAN STANLEY
WORTHPOINTE
ONEAMERICA SECURITIES, INC.
Credentials
Years of Experience
17 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
MORGAN STANLEY
WORTHPOINTE
ONEAMERICA SECURITIES, INC.
Current Firm
LORD SPENCE & ASSOCIATES | WESTWIND CAPITAL | SPENCE ASSET MANAGEMENT | LORD, SPENCE & ASSOCIATES
Contact Information
Main Address
1800 S. Telshor, Las Cruces, NM 88011Phone Number
(575) 556-8500# of Employees
10SEC notice filing (10 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,131AUM (Assets Under Management)
$795,933,599Similar Advisors
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
MORGAN STANLEY
WORTHPOINTE
ONEAMERICA SECURITIES, INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
MORGAN STANLEY
WORTHPOINTE
ONEAMERICA SECURITIES, INC.
Primary Firm SEC Registration
LORD SPENCE & ASSOCIATES | WESTWIND CAPITAL | SPENCE ASSET MANAGEMENT | LORD, SPENCE & ASSOCIATES
State Registrations and Notice Filings
(8/31/2016)
(11/19/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
MORGAN STANLEY
WORTHPOINTE
ONEAMERICA SECURITIES, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick M Grooms's CRS (Customer Relationship Summary).
Similar Advisors
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
MORGAN STANLEY
WORTHPOINTE
ONEAMERICA SECURITIES, INC.