Unclaimed Profile

Patricia Ann Lloyd

PRISM INVESTMENT MANAGEMENT, INC.·SCOTTSDALE, Arizona

SIE, Series 7, Series 24, Series 66CFP19 years registeredPRISM INVESTMENT MANAGEMENT, INC.

14350 N. 87TH STREET, SCOTTSDALE, AZ 85260CRD# 5204742Firm CRD# 159382

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Patricia Ann Lloyd · SCOTTSDALE, AZ

Registration

CRD #5204742 · PRISM INVESTMENT MANAGEMENT, INC. · 19 years registered

Brand Profile

Not yet started

Career History

ARDENT WEALTH MANAGEMENT

Nov 2024 – present

LIFEWORKS ADVISORS, LLC

Jan 2023 – Jan 2025

Scottsdale, AZ

ARDENT WEALTH MANAGEMENT INC.

Dec 2018 – Apr 2023

SCOTTSDALE, AZ

LPL FINANCIAL LLC

Jul 2016 – Jan 2019

PHOENIX, AZ

NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)

Jun 2014 – Jul 2016

SCOTTSDALE, AZ

ARDENT WEALTH MANAGEMENT INC.

Oct 2013 – Dec 2014

SCOTTSDALE, AZ

PRISM INVESTMENT MANAGEMENT, INC.

Jan 2012 – Jan 2014

SCOTTSDALE, AZ

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Jun 2008 – Aug 2012

SCOTTSDALE, AZ

MULTI-FINANCIAL SECURITIES CORPORATION

Sep 2006 – Jun 2008

SCOTTSDALE, AZ

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 66

Registration record

First registered · September 18, 2006

Years registered · 19

Professional designation · CFP

Disclosure History

2018Judgment / Lien

2017Customer Dispute·Settled

2015Customer Dispute·Denied

2013Customer Dispute·Denied

4 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

PRISM INVESTMENT MANAGEMENT, INC.

CRD 159382 · SEC 801-127309

AUM

—

Regulatory assets under management

Employees

Total firm employees

Services offered by PRISM INVESTMENT MANAGEMENT, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at PRISM INVESTMENT MANAGEMENT, INC. →

Introduction

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Frequently Asked Questions

What services does Patricia Ann Lloyd offer?

Patricia Ann Lloyd specializes in Financial Planning, Investment Management. Contact their office in SCOTTSDALE, Arizona for a consultation.

What are Patricia Ann Lloyd's credentials?

Patricia Ann Lloyd holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Patricia Ann Lloyd located?

Patricia Ann Lloyd is based in SCOTTSDALE, Arizona, working with PRISM INVESTMENT MANAGEMENT, INC.. Their office serves clients in the SCOTTSDALE metropolitan area and surrounding communities.

How does Patricia Ann Lloyd charge for services?

Patricia Ann Lloyd's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PRISM INVESTMENT MANAGEMENT, INC.?

PRISM INVESTMENT MANAGEMENT, INC. has approximately 2 employees. The firm is registered with the SEC as an investment adviser.

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