Patrick L. Brierton
Professional summary
Patrick Luke Brierton is a registered financial advisor currently at BWM LLC located in Chicago, Illinois.
Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Patrick has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Luke Brierton's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 31, 2021 - Present
BWM LLC
October 5, 2009 - August 24, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - August 24, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
February 11, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
February 6, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
April 30, 2001 - February 26, 2009
CITIGROUP GLOBAL MARKETS INC.
February 3, 1995 - February 26, 2009
CITIGROUP GLOBAL MARKETS INC.
November 23, 1993 - January 12, 1995
CITICORP INVESTMENT SERVICES
July 12, 1993 - December 3, 1993
PRUDENTIAL EQUITY GROUP, LLC
May 9, 1990 - October 2, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 24, 1989 - June 10, 1989
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/31/2021)
Exams
Series 7TO
Date: 3/20/2024
General Securities Representative ExaminationCurrent Firm
BWM LLC
CRD#: 315056 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 39 |
| AUM (Assets Under Management) | $ 16,720,125 |
Red Flags
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