Patrick George Smith
Professional Summary
Patrick George Smith was a registered financial advisor. Patrick was a previously registered financial professional and started their career in finance 2014 - 2014. Patrick had worked at 1 firm and has passed the Series 63 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.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
12 years in the financial services industry
Current & Past Employments
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Current Firm
DRAGOTTA, JOHN | SOVEREIGN GLOBAL ADVISORS, LLC | SOVEREIGN GLOBAL ADVISORS LLC
Contact Information
Main Address
501 S Cherry Street 11th Floor, Denver, CO 80246Mailing Address
501 S Cherry Street 11th Floor, Denver, CO 80246Phone Number
(866) 790-9700Established
New York since 03/18/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
10FINRA licenses (40 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
10AUM (Assets Under Management)
$4,192,356Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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