John O. Braeseke

CHICAGO PARTNERS INVESTMENT GROUP LLC

Chicago, IL 60606

Some features on this profile are disabled

CRD#: 1537159

Professional summary

John O Braeseke, who also goes by John O Braeseke Jr, John O. Braeseke, is a registered financial advisor currently at CHICAGO PARTNERS INVESTMENT GROUP LLC located in Chicago, Illinois.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. John has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John O Braeseke Jr | John O. Braeseke

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.

John Braeseke; 01/01/2000; Not investment related; Voiceover; acting; less than 20 hours per month; not during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John O Braeseke'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

June 10, 2022 - Present

CHICAGO PARTNERS INVESTMENT GROUP LLC

Office #1: 1 North Wacker Drive Suite 4075, Chicago, IL 60606

RIA

CRD#: 147662

Chicago, IL

Past

July 27, 2021 - April 29, 2022

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

May 27, 1987 - April 29, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Chicago, IL

Past

November 13, 1986 - May 15, 1987

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

Past

September 24, 1986 - November 12, 1986

SECURITIES USA, INC.

CRD#: 14799

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".

CHICAGO PARTNERS INVESTMENT GROUP LLC

CRD#: 147662 / SEC#: 801-69500

RIA

Registered Investment Advisory firm - (8/14/2008 Approved)

Ohio

Registered Investment Advisory firm - (1/7/2022 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

Illinois
(6/10/2022)

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: 5/11/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/21/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 3/5/1990

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

CHICAGO PARTNERS INVESTMENT GROUP LLC

CRD#: 147662 / SEC#: 801-69500

RIA

Registered Investment Advisory firm - (8/14/2008 Approved)

Ohio

Registered Investment Advisory firm - (1/7/2022 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1 North Wacker Drive Suite 4075, Chicago, IL 60606

Mailing Address

Phone number

(312) 284-6363

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV FIRM BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	7,713
AUM (Assets Under Management)	$ 5,958,850,183

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2025	Cover Page	Report
10/11/2024	Cover Page	Report
03/11/2024	Cover Page	Report
04/25/2023	Cover Page	Report

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John O. Braeseke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John O Braeseke's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD AMERITRADE, INC.

CHARLES SCHWAB & CO., INC.

BLINDER, ROBINSON & CO., INC.

SECURITIES USA, INC.

Primary Firm SEC Registration

CHICAGO PARTNERS INVESTMENT GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/11/2022

Series 63

Date: 11/21/1986

SIE

Date: 10/1/2018

Series 7

Date: 9/20/1986

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 3/5/1990

Current Firm

CHICAGO PARTNERS INVESTMENT GROUP LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CHICAGO PARTNERS INVESTMENT GROUP LLC

TRUST BUT VERIFY

Similar Advisors