Brad Allen Sowers
CFP®Professional Summary
Brad Allen Sowers, CFP®, who also goes by Brad Sowers, is a registered financial advisor currently at WOLVERINE EXECUTION SERVICES, LLC located in Chicago, Illinois. Brad is registered as a RR (Registered Representative) and started their career in finance in 1996. Brad has worked at 5 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 3, Series 4, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Brad Sowers
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Contact Information
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Disclosures on record.
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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Credentials
Years of Experience
32 years registered in the securities industry
Current & Past Employments
Current
Past
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WILLIAM BLAIR
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Current Firm
WOLVERINE EXECUTION SERVICES, LLC
Contact Information
Main Address
175 W. Jackson Blvd., Suite 200, Chicago, IL 60604Mailing Address
175 W. Jackson Blvd., Suite 200, Chicago, IL 60604Phone Number
(312) 884-4000Established
Illinois since 07/19/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOLVERINE TRADING, LLC | LIMITED LIABILITY CORPORATION | 36848 |
| CAVICKE, DAVID | CHIEF LEGAL COUNSEL | 6027073 |
| DE LA FUENTE, JANET MARIE | FINOP | 4543841 |
| MURPHY, PATRICK TIMOTHY | CHIEF OPERATING OFFICER/EXECUTIVE REPRESENTATIVE | 2057769 |
| MURRAY, CRAIG JOHN | CHIEF COMPLIANCE OFFICER | 6136205 |
| SOWERS, BRAD ALLEN | ROSFP | 2530780 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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WILLIAM BLAIR
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jul 2000SRO Registrations
SRO Registrations
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SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Brad Allen Sowers's CRS (Customer Relationship Summary).
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