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Emily O. Pattee

OXFORD FINANCIAL GROUP, LTD
Chicago, IL 60611
Some features on this profile are disabled
CRD#: 6012167
EP

Professional summary

Emily O Pattee, who also goes by Emily O Pattee, Emily Olson Pattee, Emily Pattee, is a registered financial advisor currently at OXFORD FINANCIAL GROUP, LTD located in Chicago, Illinois.

Emily is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Emily has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Emily O Pattee | Emily Olson Pattee | Emily Pattee

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) - RIA

Click below to view Emily O Pattee'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®
None

Experience

Current

November 16, 2021 - Present

OXFORD FINANCIAL GROUP, LTD

Office #1: 980 North Michigan Avenue Suite 1500, Chicago, IL 60611
RIA
CRD#: 105303
Chicago, IL
Past

December 4, 2018 - September 28, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
CHICAGO, IL
Past

December 4, 2018 - September 28, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
CHICAGO, IL
Past

January 3, 2014 - November 16, 2018

MORGAN STANLEY

RIA
CRD#: 149777
CHICAGO, IL
Past

January 3, 2014 - November 16, 2018

MORGAN STANLEY

BD
CRD#: 149777
CHICAGO, IL
Past

February 4, 2013 - October 7, 2013

NEW ENGLAND SECURITIES

RIA
CRD#: 615
CHICAGO, IL
Past

February 10, 2012 - October 7, 2013

NEW ENGLAND SECURITIES

BD
CRD#: 615
CHICAGO, IL

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".
OF
OXFORD FINANCIAL GROUP, LTD
FAMILY OFFICE SERVICES OF OXFORD | THE OXFORD GROUP, LTD | THE OXFORD FAMILY OFFICE | PHILANTHROPIC COUNSEL OF OXFORD | OXFORD WEALTH ADVISORS | OXFORD GROUP, LTD | OXFORD GROUP LTD | OXFORD FINANCIAL GROUP, LTD. LLC | OXFORD FINANCIAL GROUP, LTD | OXFORD FINANCIAL ADVISORS CORPORATION | OXFORD FINANCIAL ADVISORS | INVESTMENT SERVICES OF OXFORD

CRD#: 105303 / SEC#: 801-20692

RIA
Registered Investment Advisory firm - (2/7/1984 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.

Highlighted states indicate IAR registrations

IAR
Illinois
(11/16/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/13/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/26/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/27/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/9/2012
General Securities Representative Examination

Current Firm

OF
OXFORD FINANCIAL GROUP, LTD
FAMILY OFFICE SERVICES OF OXFORD | THE OXFORD GROUP, LTD | THE OXFORD FAMILY OFFICE | PHILANTHROPIC COUNSEL OF OXFORD | OXFORD WEALTH ADVISORS | OXFORD GROUP, LTD | OXFORD GROUP LTD | OXFORD FINANCIAL GROUP, LTD. LLC | OXFORD FINANCIAL GROUP, LTD | OXFORD FINANCIAL ADVISORS CORPORATION | OXFORD FINANCIAL ADVISORS | INVESTMENT SERVICES OF OXFORD

CRD#: 105303 / SEC#: 801-20692

RIA
Registered Investment Advisory firm - (2/7/1984 Approved)
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Contact information

Main Address
11711 North Meridian Street Suite 600, Carmel, IN 46032
Mailing Address
P. O. Box 80238, Indianapolis, IN 46280-0238
Phone number
(317) 843-5678
Established
Firm type
Fiscal year end
# of Employees
154

SEC notice filing (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

OXFORD FINANCIAL GROUP LTD. FORM ADV PART 2A JUNE 2025 (6/25/2025)

Regulatory assets under management

Total Number of Accounts6,467
AUM (Assets Under Management)$ 19,650,381,670

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
04/16/2025
Cover Page
Report
03/28/2025
Cover Page
Report
03/15/2024
Cover Page
Report
03/24/2023
Cover Page
Report

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.

Company Information

OXFORD FINANCIAL GROUP, LTD

CRD#: 105303Chicago, IL 60611

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