Patrick T. Byrne

ASPETUCK FINANCIAL MANAGEMENT LLC

FAIRFIELD, CT

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CRD#: 1277801

Professional summary

Patrick Timothy Byrne is a registered financial advisor currently at ASPETUCK FINANCIAL MANAGEMENT LLC located in Fairfield, Connecticut.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Patrick has worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Timothy Byrne's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 21, 2005 - Present

ASPETUCK FINANCIAL MANAGEMENT LLC

RIA

CRD#: 134500

FAIRFIELD, CT

Past

June 29, 2007 - August 31, 2007

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

WESTPORT, CT

Past

July 16, 2003 - July 8, 2005

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

September 24, 2002 - March 31, 2003

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

SAN ANTONIO, TX

Past

September 24, 2002 - March 31, 2003

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

SAN ANTONIO, TX

Past

May 28, 1999 - December 21, 2001

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

September 5, 1991 - December 21, 2001

NEUBERGER BERMAN MANAGEMENT LLC

CRD#: 5493

NEW YORK, NY

Past

June 10, 1988 - August 26, 1991

NSR DISTRIBUTORS, INC.

CRD#: 20271

ENFIELD, CT

Past

June 11, 1985 - June 10, 1988

NATIONAL SECURITIES & RESEARCH CORPORATION

CRD#: 614

Past

January 24, 1985 - April 19, 1985

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASPETUCK FINANCIAL MANAGEMENT LLC

ASPETUCK | ASPETUCK FINANCIAL MANAGEMENT LLC

CRD#: 134500 / SEC#: 801-125900

RIA

Registered Investment Advisory firm - (6/21/2022 Approved)

Connecticut

Registered Investment Advisory firm - (7/25/2022 Terminated)

New Jersey

Registered Investment Advisory firm - (7/11/2022 Terminated)

New York

Registered Investment Advisory firm - (7/8/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(7/21/2005)

IAR

Florida
(7/7/2022)

IAR

New Jersey
(4/10/2012)

IAR

New York
(11/17/2021)

IAR

Texas
(6/23/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/25/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/25/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/20/1985

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/23/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/13/1989

General Securities Principal Examination

Current Firm

ASPETUCK FINANCIAL MANAGEMENT LLC

ASPETUCK | ASPETUCK FINANCIAL MANAGEMENT LLC

CRD#: 134500 / SEC#: 801-125900

RIA

Registered Investment Advisory firm - (6/21/2022 Approved)

Connecticut

Registered Investment Advisory firm - (7/25/2022 Terminated)

New Jersey

Registered Investment Advisory firm - (7/11/2022 Terminated)

New York

Registered Investment Advisory firm - (7/8/2022 Terminated)

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Contact information

Main Address

27a Imperial Ave., Westport, CT 06880

Mailing Address

Phone number

(203) 226-5733

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (9/15/2025)

Regulatory assets under management

Total Number of Accounts	451
AUM (Assets Under Management)	$ 152,745,716

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Patrick T. Byrne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Timothy Byrne's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

OSAIC WEALTH, INC.

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT SERVICES COMPANY

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN MANAGEMENT LLC

NSR DISTRIBUTORS, INC.

NATIONAL SECURITIES & RESEARCH CORPORATION

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ASPETUCK FINANCIAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/25/1993

Series 63

Date: 1/25/1985

Series 7

Date: 7/20/1985

Series 6

Date: 1/23/1985

Series 24

Date: 12/13/1989

Current Firm

ASPETUCK FINANCIAL MANAGEMENT LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASPETUCK FINANCIAL MANAGEMENT LLC

TRUST BUT VERIFY

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