Patrice P. Dominique

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CRD#: 6662788

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Patrice P Dominique, who also goes by Patrice Phillip Dominique, was a registered financial professional .

Patrice is a previously registered financial professional and started their career in finance in 2016. Patrice had worked at 6 firms and has passed the Series 65, Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Patrice Phillip Dominique

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) NAME OF OTHER BUSINESS: HARRY KELLER DBA FINANCIAL INDEPENDENCE PLANNING, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 12/2021; POSITION/TITLE/RELATIONSHIP: CLIENT SERVICE ASSOCIATE ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: SERVICING CLIENTS WITH ADVISORS, ASSIST WITH CLIENT MEETINGS;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 14, 2024 - September 24, 2025

PRINCIPAL ADVISED SERVICES

RIA

CRD#: 297324

VILLA RICA, GA

Past

September 13, 2024 - September 24, 2025

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

November 9, 2023 - July 15, 2024

HEIM, YOUNG & ASSOCIATES, INC.

CRD#: 38993

SPRINGFIELD, MO

Past

July 22, 2021 - July 5, 2022

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

CONSHOHOCKEN, PA

Past

July 22, 2021 - July 5, 2022

CETERA WEALTH SERVICES, LLC

CRD#: 13572

CONSHOHOCKEN, PA

Past

January 11, 2021 - July 23, 2021

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

MALVERN, PA

Past

June 29, 2016 - July 23, 2021

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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".

PRINCIPAL ADVISED SERVICES

PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA

Registered Investment Advisory firm - (12/14/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/13/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/27/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/12/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/7/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/29/2016

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PRINCIPAL ADVISED SERVICES

PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA

Registered Investment Advisory firm - (12/14/2018 Approved)

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Contact information

Main Address

655 9th Street, Des Moines, IA 50309

Mailing Address

711 High Street, Des Moines, IA 50392

Phone number

(866) 412-0770

Established

Firm type

Fiscal year end

# of Employees

343

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PAS ADV 2A ADVICE BROCHURE (3/31/2025)

PRINCIPAL ADVISED SERVICES FORM ADV 2A WRAP FEE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	16,940
AUM (Assets Under Management)	$ 887,316,440

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
10/28/2024	Cover Page	Report
11/20/2023	Cover Page	Report
09/22/2023	Cover Page	Report
12/20/2022	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.

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Firm Stability Insights

Patrice P. Dominique

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

HEIM, YOUNG & ASSOCIATES, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

PRINCIPAL ADVISED SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 11/13/2024

Series 66

Date: 10/27/2020

Series 63

Date: 7/12/2016

Series 7TO

Date: 1/7/2021

SIE

Date: 10/1/2018

Series 6

Date: 6/29/2016

Current Firm

PRINCIPAL ADVISED SERVICES

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL ADVISED SERVICES

TRUST BUT VERIFY

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