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RIA / WealthAdvisor32 years in industry

PATRICK JOHN FITZSIMMONS

Advisor at WOODSTOCK WEALTH MANAGEMENT, INC.

WOODSTOCK, GA | Erie, PA | Cape Coral, FL

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Search this name across graphsid dfx:ria:9e3207af-ad87-112a-f3ca-2a54a098e5a2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 3, 1995 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WOODSTOCK WEALTH MANAGEMENT, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 15, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Nov 15, 1993
First registration: Jan 3, 1995
Dual registered: no
Other names: PATRICK J FITZSIMMONS
IAPD individual key: 1098965

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WOODSTOCK WEALTH MANAGEMENT, INC.	Independent wealth	Nov 19, 2018	n/a	yes	Erie, PA\|WOODSTOCK, GA\|Cape Coral, FL	Current employment
SB ADVISORY, LLC	Independent wealth	Feb 2, 2012	Nov 27, 2018	no	ERIE, PA\|ATLANTA, GA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 17, 2008	Nov 18, 2011	no	ERIE, PA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 3, 1995	Dec 22, 2008	no	ERIE, PA\|VENETIA, PA\|VENETIA, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SB ADVISORY, LLC	WOODSTOCK WEALTH MANAGEMENT, INC.	Nov 27, 2018	Nov 19, 2018	-8	Firm change	Ibd to new firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	SB ADVISORY, LLC	Nov 18, 2011	Feb 2, 2012	76	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 22, 2008	Dec 17, 2008	-5	Firm change	Ibd to wirehouse

Relationships

Registered with (4)

→ WOODSTOCK WEALTH MANAGEMENT, INC.Registered adviserregistration: current employment
Nov 19, 2018 to presentfactForm ADV
→ SB ADVISORY, LLCRegistered adviserregistration: previous registration
Feb 2, 2012 to Nov 27, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 17, 2008 to Nov 18, 2011factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 3, 1995 to Dec 22, 2008factForm ADV

Dated events

No dated event names this entity yet.