PM
Patrick M. Mccabe
RIA ADVISORY GROUP
Sioux Falls, SD 57108
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CRD#: 6529539
PM
Professional summary
Patrick Michael Mccabe, who also goes by Patrick Mccabe, is a registered financial advisor currently at RIA ADVISORY GROUP, LLC located in Sioux Falls, South Dakota.
Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Patrick has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patrick Mccabe
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. 03/26/2019 - Financial Markets, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Life, Disability, fixed annuities, longer term care.
2. 4/29/2020 - Resolve Physician Agency - Investment Related - At Reported Business Location(s) - via phone call - Other-Benefit Education - Started 03/03/2020 - Benefit Analyst - 8 Hours Per Month/6 Hours During Securities Trading - Calls with doctors to help them understand the benefits that their new possible employer is offering.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Michael Mccabe'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
August 6, 2020 - Present
RIA ADVISORY GROUP, LLC
Office #1: 6300 S. Old Village Pl, Suite 100, Sioux Falls, SD 57108RIA
CRD#: 152566
Sioux Falls, SD
Past
April 5, 2019 - August 10, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
SIOUX FALLS, SD
Past
April 5, 2019 - August 11, 2020
BALEFIRE, LLC
RIA
CRD#: 168733
SIOUX FALLS, SD
Past
March 26, 2019 - August 10, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
SIOUX FALLS, SD
Past
May 3, 2016 - April 2, 2019
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
SIOUX FALLS, SD
Past
July 31, 2015 - April 2, 2019
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
SIOUX FALLS, SD
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".
RA
RIA ADVISORY GROUP, LLC
DAKOTA ADVISORY TEAM | TRIPOINT ADVISORY GROUP, LLC | RIEA | RIAG, LLC DBA RIA ADVISORS | RIA ADVISORY GROUP, LLC | PEDERSEN INSURANCE & FINANCIAL SERVICES | LIFESTYLES INVESTMENT STRATEGIES | IEA WEALTH MANAGEMENT, LLC | IEA WEALTH MANAGEMENT LLC | EA-ADVISORS, LLC | EA ADVISORS
CRD#: 152566 / SEC#: 801-117837
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Iowa
Registered Investment Advisory firm - (1/2/2020 Terminated)Minnesota
Registered Investment Advisory firm - (1/6/2020 Terminated)Missouri
Registered Investment Advisory firm - (1/2/2020 Terminated)Nevada
Registered Investment Advisory firm - (2/5/2020 Terminated)Texas
Registered Investment Advisory firm - (1/2/2020 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.Highlighted states indicate IAR registrations
IAR
South Dakota(8/6/2020)
IAR
Texas(1/9/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/28/2018
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
RA
RIA ADVISORY GROUP, LLC
DAKOTA ADVISORY TEAM | TRIPOINT ADVISORY GROUP, LLC | RIEA | RIAG, LLC DBA RIA ADVISORS | RIA ADVISORY GROUP, LLC | PEDERSEN INSURANCE & FINANCIAL SERVICES | LIFESTYLES INVESTMENT STRATEGIES | IEA WEALTH MANAGEMENT, LLC | IEA WEALTH MANAGEMENT LLC | EA-ADVISORS, LLC | EA ADVISORS
CRD#: 152566 / SEC#: 801-117837
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Iowa
Registered Investment Advisory firm - (1/2/2020 Terminated)Minnesota
Registered Investment Advisory firm - (1/6/2020 Terminated)Missouri
Registered Investment Advisory firm - (1/2/2020 Terminated)Nevada
Registered Investment Advisory firm - (2/5/2020 Terminated)Texas
Registered Investment Advisory firm - (1/2/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
500 Sw 7th Street Suite 204, Des Moines, IA 50309
Mailing Address
Phone number
(515) 965-8588
Established
Firm type
Fiscal year end
# of Employees
23
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,009 |
| AUM (Assets Under Management) | $ 456,517,836 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
