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Patrick Kelly

Spc
42 Years of Experience
Highlands Ranch, CO
9 Disclosures
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Patrick Kelly is a registered investment advisor at Spc, based in Highlands Ranch, CO, with 42 years of industry experience. Patrick operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 30,916 clients with $6.1B in assets under management.

Spc
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
474 advisors
Number of Clients
30,916 clients
Average Client Portfolio
$197K average
Assets Under Management
$6.1B

Fee Structure

Minimum Investment:$5.5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum annual advisory fee is 2.50%. Advisors set their own rates for each account up to this maximum limit. A 0.15% program fee is included within the total fee.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Highlands Ranch, CO

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History

Regulatory History (9)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2025
Pending
Judgment / Lien
December 2019
Judgment / Lien
November 2016
Customer Dispute
February 2016
Settled
Judgment / Lien
February 2011
Customer Dispute
December 2004
Settled
Customer Dispute
August 2001
Settled
Regulatory
August 1997
Final
Customer Dispute
January 1995
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Patrick is a board member and financial secretary (with no access to funds) for the Ancient Order of Hibernians. This takes minimal time and is not investment-related.

Employment History
Current Registrations
Spc
December 2008 - Present · 17 yrs 10 mos
Previous Registrations
Sigma Financial CorporationBroker
December 2008 - June 2020 · 11 yrs 6 mos
Presidential Brokerage, INC.
June 2003 - December 2008 · 5 yrs 6 mos
Presidential Brokerage, INC.Broker
December 2001 - December 2008 · 7 yrs
Stanford Group CompanyBroker
July 2001 - January 2002 · 6 mos
Kirkpatrick, Pettis, Smith, Polian INC.Broker
December 1997 - July 2001 · 3 yrs 7 mos
R a F Financial CorporationBroker
September 1994 - December 1997 · 3 yrs 3 mos
Hibbard Brown & CO., INC.Broker
October 1990 - August 1994 · 3 yrs 10 mos
Painewebber IncorporatedBroker
July 1988 - September 1990 · 2 yrs 2 mos
Hibbard Brown & CO., INC.Broker
May 1988 - July 1988 · 2 mos
Sherwood Capital, INC.Broker
February 1987 - May 1988 · 1 yr 3 mos
First Jersey Securities, INC.Broker
May 1984 - January 1987 · 2 yrs 8 mos
State Registrations1 state
CO
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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