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CB

Christopher M. Brigati

SWBC INVESTMENT SERVICES
San Antonio, TX 78216
Some features on this profile are disabled
CRD#: 2259024
CB

Professional summary

Christopher Michael Brigati, who also goes by Christopher Michael Brigati, Christopher Brigati, is a registered financial professional currently at SWBC INVESTMENT SERVICES, LLC located in San Antonio, Texas.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1994. Christopher has worked at 8 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 3, Series 7, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher Michael Brigati | Christopher Brigati

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) - BD

Click below to view Christopher Michael Brigati'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

January 4, 2024 - Present

SWBC INVESTMENT SERVICES, LLC

Office #1: 9311 San Pedro, Ste 600, San Antonio, TX 78216
BD
CRD#: 133715
San Antonio, TX
Past

November 28, 2022 - December 22, 2023

VALLEY FINANCIAL MANAGEMENT, INC.

BD
CRD#: 105387
Wayne, NJ
Past

June 23, 2015 - December 16, 2020

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
NEW YORK, NY
Past

June 1, 2009 - October 16, 2014

MORGAN STANLEY

BD
CRD#: 149777
New York, NY
Past

April 2, 2007 - October 16, 2014

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

May 30, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

November 18, 1994 - May 30, 2003

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

September 2, 1994 - November 21, 1994

EXECUTIVE INVESTORS CORPORATION

BD
CRD#: 3702
NEW YORK, NY
Past

March 14, 1994 - November 2, 1994

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(1/4/2024)
RR
Texas
(1/4/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/11/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/6/1994
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/11/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/19/2016
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/21/2005
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SI
SWBC INVESTMENT SERVICES, LLC
SWBC INVESTMENT SERVICES, LLC | SWBC WEALTH MANAGEMENT

CRD#: 133715 / SEC#: , 8-66764

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
9311 San Pedro, Ste 600, San Antonio, TX 78216
Mailing Address
9311 San Pedro, Ste 600, San Antonio, TX 78216
Phone number
(800) 527-0066
Established
Texas since 08/02/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SOUTHWEST BUSINESS CORPORATIONMEMBER
IRETA, ALEJANDRO GCHIEF OPERATING OFFICER5752503
RYKERT, DONALD SCOTTCEO/CCO2128744
SMITH, RYAN CHARLESDIRECTOR OF FINANCE - FINOP7015114

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.

Company Information

SWBC INVESTMENT SERVICES, LLC

CRD#: 133715San Antonio, TX 78216

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