Keith Wayne Patterson

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2011 → 07/2020
  Investacorp Inc
  Miami, FL
• 01/2012 → 07/2020
  Investacorp Advisory Services
  Miami, FL
• 07/2020 → 08/2020
  Securities America, Inc.
  Sugar Land, TX
• 07/2020 → 08/2020
  Securities America Advisors, Inc.
  Sugar Land, TX
• 05/2015 → 03/2026
  Post Oak Capital Group, Llc
  Sugar Land, TX
• 05/2015 → Present
  Kwp Capital, Llc
  Sugar Land, TX
• 08/2020 → 09/2025
  Avantax Investment Services, Inc.
  Sugar Land, TX
• 08/2020 → 09/2025
  Avantax Advisory Services
  Sugar Land, TX
• 08/2020 → 09/2025
  Avantax Insurance Agency, Llc
  Sugar Land, TX
• 04/2017 → Present
  First Income Advisors
  Sugar Land, TX
• 05/2025 → 03/2026
  Equity Indexed Products
  Sugar Land, TX
• 09/2025 → 03/2026
  Cetera Wealth Services, Llc
  Sugar Land, TX
• 09/2025 → 03/2026
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 03/2026 → Present
  Lpl Financial Llc
  Sugar Land, TX

Previous Registrations

• 2025-09-05 → 2026-04-07
  Cetera Investment Advisers Llc
  Sugar Land, TX
  Missouri City, TX
• 2020-09-15 → 2025-09-05
  Avantax Advisory Services
  Houston, TX
  Sugar Land, TX
  Sugar Land, TX
  Houston, TX
  Sugar Land, TX
  Dallas, TX
  Missouri City, TX
• 2020-07-17 → 2020-10-09
  Securities America Advisors, Inc.
  Sugar Land, TX
• 2012-01-05 → 2020-07-17
  Investacorp Advisory Services Inc
  Sugarland, TX
  Sugarland, TX
  Sugar Land, TX
• 2011-04-21 → 2011-12-31
  Geneos Wealth Management, Inc.
  Englewood, CO
  Sugar Land, TX
• 2006-08-01 → 2011-04-18
  Next Financial Group, Inc.
  Houston, TX
  Sugarland, TX
  Houston, TX
• 2002-10-30 → 2006-07-31
  Lpl Financial Llc
  Sugar Land, TX
  Houston, TX
• 1999-09-03 → 2002-10-22
  Ubs Financial Services Inc.
  Houston, TX

Other Businesses

1. 03/2026 - KWP Capital LLC - Business Entity For Tax/Investment Purposes Only - Investment Related - 02 Hrs/Mth - 01 Hrs During Trading - Sugar Land, TX 77479 - OBA Start Date: 05/02/2022 2. 03/2026 - KWP Capital LLC - Real Estate Rental - Investment Related - 00 Hrs/Mth - 00 Hrs During Trading - Sugar Land, TX 77479 - OBA Start Date: 05/02/2022 3. 03/2026 - First Income Advisors/Simplicity Minneapolis - Non-Variable Insurance - Investment Related - 20 Hrs/Mth - 10 Hrs During Trading - Sugar Land, TX 77479 - OBA Start Date: 04/01/2017 4. 03/2026 - Patterson Capital - DBA for LPL Business (entity for LPL business) - Investment Related - 200 Hrs/Mth - 200 Hrs During Trading - At Reported Business Location(s) - 03/30/2026

Exams

• S63 Uniform Securities Agent State Law Examination
  1991-06-20