Patrick Michael Kelly

Employer firm

Spc CRD 110692

$6.10B regulatory AUM 4,483 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Spc

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2008-12-02

CO RA
APPROVED

Since 2008-12-02

Branch Locations

Highlands Ranch, CO • United States

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

3969 E. Arapahoe Road Suite 105, Centennial, CO 80122 • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Sigma Financial Corporation	Ann Arbor	MI	12/2008	06/2020
Spc	Ann Arbor	MI	12/2008	Present

12/2008 → 06/2020

Sigma Financial Corporation

Ann Arbor, MI
12/2008 → Present

Spc

Ann Arbor, MI

Previous Registrations

2003-06-16 → 2008-12-26

Forta Financial Group, Inc.

Greenwood Village, CO

Greenwood Village, CO

Other Businesses

DBA - SHAMROCK CAPITAL, INC, HIGHLANDS RANCH, CO. Board member - Ancient Order of Hibernians, Highlands Ranch, CO. Act as financial secretary, no access to funds. Start date: 7/26/23, approx. 3 hrs/mo, none during mkt hrs. INV REL: N

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-11-23
S63	Uniform Securities Agent State Law Examination	1984-06-06

S66 Uniform Combined State Law Examination

2011-11-23
S63 Uniform Securities Agent State Law Examination

1984-06-06

View on SEC IAPD