Patrick S. O'connor
HHM WEALTH ADVISORS
Memphis, TN 38120
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CRD#: 6292245
Professional summary
Patrick Shane O'connor, CFP® is a registered financial advisor currently at HHM WEALTH ADVISORS, LLC located in Memphis, Tennessee.
Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Patrick has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
GERMANTOWN PERFORMING ARTS CENTER, NON-INVESTMENT RELATED, 1801 EXETER ROAD GERMANTOWN, TN 38138, PERFORMING ARTS VENUE, BOARD OF DIRECTORS- EXECUTIVE COMMITTEE - PRESIDENT OF THE BOARD, START DATE 9/21/2021, END DATE 8/17/2023, 10 HOURS DEVOTED ANNUALLY, 0 HOURS DURING TRADING HOURS. GERMANTOWN ARTS CENTER, NON-INVESTMENT RELATED, 1801 EXETER ROAD GERMANTOWN, TN 38138, ARTS VENUE, BOARD OF DIRECTORS- EXECUTIVE COMMITTEE - PRESIDENT OF THE BOARD, START DATE 8/17/2023, APPROXIMATELY 24 HOURS DEVOTED ANNUALLY, 1 HOUR EVERY OTHER WEEK DURING TRADING HOURS. ADDITIONAL INVOLVEMENT INCLUDES MEMBER OF THE FINANCE COMMITTEE, START DATE 9/20/2021, 4-6 HOURS DEVOTED ANNUALLY, APPROXIMATELY 2-3 HOURS DURING TRADING HOURS. PIDGEON HALL HOME OWNERS ASSOCIATION - NON-INVESTMENT RELATED - 6584 PIDGEON HALL, MEMPHIS, TN 38119, TREASURER OF HOA, START DATE 8/17/2023, 30 MINUTES DEVOTED MONTHLY, 0 HOURS DEVOTED DURING TRADING HOURS, NO COMPENSATION. CHILDREN'S MUSEUM OF MEMPHIS - NON-INVESTMENT RELATED - 2525 CENTRAL AVENUE, MEMPHIS, TN 38104, DIRECTOR/MEMBER OF THE BOARD OF DIRECTORS IN A GENERAL ROLE, START DATE 2/24/2022, 2 HOURS DEVOTED QUARTERLY DURING TRADING HOURS, NO COMPENSATION.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Shane O'connor'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®
CFP®
Start date: 2017
Experience
Current
July 9, 2024 - Present
HHM WEALTH ADVISORS, LLC
Office #1: 1755 Kirby Parkway#200, Memphis, TN 38120RIA
CRD#: 150843
Memphis, TN
Past
March 19, 2015 - July 2, 2024
DUNCAN WILLIAMS ASSET MANAGEMENT, LLC
RIA
CRD#: 174809
MEMPHIS, TN
Past
April 28, 2014 - April 2, 2015
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
RIA
CRD#: 6950
MEMPHIS, TN
Past
March 25, 2014 - April 2, 2015
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
BD
CRD#: 6950
MEMPHIS, TN
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".
HW
HHM WEALTH ADVISORS, LLC
HHM WEALTH ADVISORS, LLC
CRD#: 150843 / SEC#: 801-70419
RIA
Registered Investment Advisory firm - (8/7/2009 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
Tennessee(7/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
HW
HHM WEALTH ADVISORS, LLC
HHM WEALTH ADVISORS, LLC
CRD#: 150843 / SEC#: 801-70419
RIA
Registered Investment Advisory firm - (8/7/2009 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1181 King Street, Chattanooga, TN 37403
Mailing Address
Phone number
(423) 826-1670
Established
Firm type
Fiscal year end
# of Employees
18
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,313 |
| AUM (Assets Under Management) | $ 1,406,920,944 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 01/18/2024 | ||
| 01/03/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HHM WEALTH ADVISORS, LLC
CRD#: 150843Memphis, TN 38120TRUST BUT VERIFY
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