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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Hartley is a financial advisor with Wealthpenn.comllc, a firm with approximately $10 billion to $50 billion in assets under management. Patrick has been in the financial services industry since January 17, 1991. Patrick has extensive experience in the industry, having worked for several firms, including Raymond James & Associates, Inc. and Stifel, Nicolaus & Company, Incorporated. Patrick holds multiple securities licenses, including Series 7, Series 10, Series 24, Series 27, Series 31, Series 53, and Series 63. Patrick is registered as a broker-dealer and investment advisor representative in 43 states. Patrick's areas of specialization include financial planning, investment management, and asset allocation.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NC
04/23/2020 - Present
Wealthpenn.comllc (CHAPEL HILL NC)
NC
05/15/2007 - 08/09/2011
RAYMOND JAMES & ASSOCIATES, INC. (DURHAM NC)
NC
12/01/2005 - 05/10/2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CHAPEL HILL NC)
MN
10/24/1994 - 12/01/2005
LEGG MASON WOOD WALKER, INCORPORATED (MINNEAPOLIS MN)
VA
08/05/1992 - 10/07/1994
RYAN, LEE & CO., INC. (ARLINGTON VA)
DC
07/20/1988 - 04/05/1990
JOHNSTON, LEMON & CO. INCORPORATED (WASHINGTON DC)
IA
Issued 10/7/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/8/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/21/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/21/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 7/28/1998
Series 53 - Municipal Securities Principal Examination
BC
Issued 1/15/1993
Series 27 - Financial and Operations Principal Examination
BC
Issued 4/9/1992
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/12/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 7/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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