PH
Patrick T. Healy
SEAMOUNT FINANCIAL GROUP
Tustin, CA 92780
Some features on this profile are disabled
CRD#: 6883908
PH
Professional summary
Patrick Thomas Healy is a registered financial advisor currently at SEAMOUNT FINANCIAL GROUP INC located in Tustin, California and LPL FINANCIAL LLC located in Tustin, California.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Patrick has worked at 4 firms and has passed the Series 66, Series 63, 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.
1. 05/2025 - Insurance - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 03/13/2025- 2 hours per month/ during trading 2. 05/15/2025 - Seamount Financial Group, Inc. - Registered Investment Advisor Hybrid - Investment Related - At Reported Business Location(s) - Start Date:03/14/2025 - 160 Hrs/Mth - 160 Hrs During Trading - I provide investment advisory services through Seamount Financial Group, Inc., an independent investment advisor firm. I started this business activity in 03/2025. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Thomas Healy'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
July 13, 2022 - Present
SEAMOUNT FINANCIAL GROUP INC
Office #1: 17542 East 17th Street Suite 460, Tustin, CA 92780RIA
CRD#: 107834
Tustin, CA
Current
May 1, 2025 - Present
LPL FINANCIAL LLC
Office #1: 17542 East 17th Street Suite 460, Tustin, CA 92780RIA
BD
CRD#: 6413
TUSTIN, CA
Past
May 6, 2022 - May 1, 2025
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
Tustin, CA
Past
April 25, 2018 - April 8, 2022
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEWPORT BEACH, CA
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".
SF
SEAMOUNT FINANCIAL GROUP INC
SEAMOUNT FINANCIAL GROUP INC
CRD#: 107834 / SEC#: 801-56412
RIA
Registered Investment Advisory firm - (4/6/1999 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
California(7/13/2022)
RR
California(5/1/2025)
RR
Hawaii(5/1/2025)
IAR
Texas(7/13/2022)
RR
Texas(5/1/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SEAMOUNT FINANCIAL GROUP INC
SEAMOUNT FINANCIAL GROUP INC
CRD#: 107834 / SEC#: 801-56412
RIA
Registered Investment Advisory firm - (4/6/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
90 So Cascade Avenue Suite 970, Colorado Springs, CO 80903
Mailing Address
Phone number
(719) 471-1171
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,604 |
| AUM (Assets Under Management) | $ 665,191,281 |
Red Flags
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