Patrick M. Grooms
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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Patrick M Grooms's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2017
Experience
August 31, 2016 - Present
WESTWIND CAPITAL
Office #1: 1800 S. Telshor, Las Cruces, NM 88011January 7, 2013 - August 30, 2016
U.S. BANCORP INVESTMENTS, INC.
January 3, 2013 - August 30, 2016
U.S. BANCORP INVESTMENTS, INC.
December 3, 2009 - January 4, 2013
EDWARD JONES
November 16, 2009 - January 4, 2013
EDWARD JONES
Primary Firm SEC Registration
WESTWIND CAPITAL
CRD#: 106802 / SEC#: 801-43661
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/31/2016)
(11/19/2021)
Exams
Current Firm
WESTWIND CAPITAL
CRD#: 106802 / SEC#: 801-43661
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,945 |
| AUM (Assets Under Management) | $ 715,145,223 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/31/2023 |
Red Flags
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Company Information
WESTWIND CAPITAL
CRD#: 106802Las Cruces, NM 88011TRUST BUT VERIFY
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