JD
James P. Donnelly
THE INSTITUTE
Seattle, WA 98112
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CRD#: 5781822
JD
Professional summary
James Patrick Donnelly, who also goes by Patrick James Donnelly, is a registered financial advisor currently at THE INSTITUTE located in Seattle, Washington and DMK ADVISOR GROUP, INC. located in Seattle, Washington.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. James has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patrick James Donnelly
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) INSTITUTE FOR WEALTH MANAGEMENT DBA MADISON PARK ADVISORS. INVESTMENT RELATED. 13455 NOEL RD SUITE 100, DALLAS TX 75240. RIA. ADVISOR START 01/2017. 160 HOURS/MONTH, 160 DURING TRADING. FINANCIAL ADVISORY, FINANCIAL PLANNING AND SERVICING CLIENTS.
2) Mr. Donnelly is a Registered Representative of DMK Advisor Group where his responsibilities are managing and servicing client annuities. 3 hours a month are devoted to these activities during trading hours. 7 hours a month are devoted to these activities outside of trading hours. 20% of his yearly income is derived from this activity.
CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Donnelly'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
May 10, 2019 - Present
THE INSTITUTE
Office #1: 4020 E Madison St Suite 210, Seattle, WA 98112RIA
CRD#: 127207
Seattle, WA
Current
November 7, 2017 - Present
DMK ADVISOR GROUP, INC.
Office #1: 1201 3rd Avenue, Ste. 5040, Seattle, WA 98101RIA
BD
CRD#: 41067
Seattle, WA
Past
August 8, 2017 - November 7, 2017
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Seattle, WA
Past
January 26, 2017 - April 30, 2019
INSTITUTE FOR WEALTH ADVISORS, INC.
RIA
CRD#: 149347
Seattle, WA
Past
October 3, 2016 - January 25, 2017
SOWELL MANAGEMENT
RIA
CRD#: 127145
Seattle, WA
Past
September 23, 2016 - January 3, 2017
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
ORLANDO, FL
Past
September 29, 2014 - June 19, 2017
CONCERT WEALTH MANAGEMENT
RIA
CRD#: 141253
SEATTLE, WA
Past
August 26, 2014 - August 18, 2016
DINOSAUR FINANCIAL GROUP, L.L.C
BD
CRD#: 104446
SEATTLE, WA
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".
TI
THE INSTITUTE
CARLSON FINANCIAL SERVICES, LLC | YURICA WEALTH MANAGMENT | WEALTH EVOLUTION GROUP | VALUEWEALTH SERVICES, LLC | THE INSTITUTE | RETIREMENT RISK ADVISORS | PLATINUM WEALTH MANAGEMENT, LLC | MADISON PARK ADVISORS | MADISON PARK ADVISOR | INSTITUTE FOR WEALTH MANAGEMENT LLC | INSTITUTE FOR WEALTH | HOBSON FINANCIAL | HF ADVISORY GROUP | EWEALTH CONSULTING | COLORADO INSTITUTE FOR WEALTH MANAGEMENT | CLEARWEALTH ASSET MANAGEMENT
CRD#: 127207 / SEC#: 801-67624
RIA
Registered Investment Advisory firm - (3/7/2007 Approved)Colorado
Registered Investment Advisory firm - (4/3/2007 Terminated)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
Arizona(11/7/2017)
RR
California(1/4/2018)
RR
South Dakota(11/7/2017)
IAR
Texas(5/10/2019)
RR
Washington(11/7/2017)
IAR
Washington(5/10/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TI
THE INSTITUTE
CARLSON FINANCIAL SERVICES, LLC | YURICA WEALTH MANAGMENT | WEALTH EVOLUTION GROUP | VALUEWEALTH SERVICES, LLC | THE INSTITUTE | RETIREMENT RISK ADVISORS | PLATINUM WEALTH MANAGEMENT, LLC | MADISON PARK ADVISORS | MADISON PARK ADVISOR | INSTITUTE FOR WEALTH MANAGEMENT LLC | INSTITUTE FOR WEALTH | HOBSON FINANCIAL | HF ADVISORY GROUP | EWEALTH CONSULTING | COLORADO INSTITUTE FOR WEALTH MANAGEMENT | CLEARWEALTH ASSET MANAGEMENT
CRD#: 127207 / SEC#: 801-67624
RIA
Registered Investment Advisory firm - (3/7/2007 Approved)Colorado
Registered Investment Advisory firm - (4/3/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9878 W. Belleview Ave. #2306, Denver, CO 80123
Mailing Address
Phone number
(303) 572-3500
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,848 |
| AUM (Assets Under Management) | $ 1,154,643,475 |
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.
