PS
Patrick A. Sereda
B. C. ZIEGLER AND COMPANY
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2857085
PS
Professional summary
Patrick A Sereda, who also goes by Patrick A Sereda, Patrick Allen Sereda, is a registered financial professional currently at B. C. ZIEGLER AND COMPANY located in Chicago, Illinois.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 1998. Patrick has worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Patrick A Sereda | Patrick Allen Sereda
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.
GREAT LAKES ADVISORS IS LOCATED AT 222 S. RIVERSIDE PLAZA 28TH FLOOR, CHICAGO, IL 60606. INVESTMENT-RELATED, AFFILIATED INVESTMENT ADVISOR. POSITION IS A COMPLIANCE OFFICER ROLE WITH� 6 HOURS PER MONTH, OF WHICH 6 HOURS PER MONTH ARE DURING SECURITIES TRADING HOURS. RESPONSIBILITIES INCLUDES EMAIL AND ACCOUNT SUPERVISION.� START DATE OF POSITION IS 11/28/2011. WHI COMPLIANCE HAS REVIEWED THE OUTSIDE EMPLOYMENT AND HAVE DETERMINED THAT ACTIVITY: 1.) DOES NOT INTERFERE WITH OR COMPROMISE EMPLOYEE'S RESPONSIBILITIES TO WHI, AND 2.) WILL NOT BE VIEWED BY THE PUBLIC AS PART OF WHI'S BUSINESS.
CRS (Client Relationship Summary) - BD
Click below to view Patrick A Sereda's 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®
NoneExperience
Current
April 23, 2025 - Present
B. C. ZIEGLER AND COMPANY
Office #1: One North Wacker Drive, Suite 2000, Chicago, IL 60606BD
CRD#: 61
Chicago, IL
Past
August 7, 2017 - June 10, 2024
GREAT LAKES ADVISORS, LLC
RIA
CRD#: 110757
CHICAGO, IL
Past
January 3, 2012 - January 28, 2025
WINTRUST INVESTMENTS LLC
RIA
CRD#: 875
Tinley Park, IL
Past
November 28, 2011 - February 10, 2025
WINTRUST INVESTMENTS LLC
BD
CRD#: 875
CHICAGO, IL
Past
October 7, 2011 - December 7, 2011
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
NAPERVILLE, IL
Past
October 3, 2006 - November 13, 2009
WATERSTONE FINANCIAL GROUP, INC.
RIA
CRD#: 10078
ITASCA, IL
Past
May 27, 1999 - November 13, 2009
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
ITASCA, IL
Past
May 11, 1998 - May 11, 1999
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
April 3, 1998 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
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
Illinois(4/23/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 4/23/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
B. C. ZIEGLER AND COMPANY
B. C. ZIEGLER AND COMPANY | ZIEGLER WEALTH MANAGEMENT | ZIEGLER PRIVATE EQUITY | ZIEGLER INVESTMENT SERVICES GROUP | ZIEGLER CONSULTING SERVICE | ZIEGLER CAPITAL MARKETS | ZIEGLER | REACT GROUP
CRD#: 61 / SEC#: 801-19699, 8-94
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
One North Wacker Drive, Suite 2000 Suite 2000, Chicago, IL 60606
Mailing Address
One North Wacker Drive, Suite 2000, Chicago, IL 60606
Phone number
(312) 263-0110
Established
Wisconsin since 02/12/1920
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ZIEGLER COMPANIES, INC. | PARENT COMPANY | |
| DAVID, ANGELIQUE ATHIENA | EMD, GENERAL COUNSEL, CORPORATE SECRETARY, COO | 5445800 |
| HERMANN, DANIEL JOSEPH | CEO AND PRESIDENT | 1790977 |
| JEFFERSON, RYAN T | MANAGING DIRECTOR, CFO & DIRECTOR | 5844031 |
| KERR, MARCLETTA R | DIRECTOR, CHIEF COMPLIANCE OFFICER | 7463114 |
| STROM, KEVIN LOUIS | EMD HEAD OF CAPITAL MARKETS | 1595516 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 2 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Wisconsin | ERA - Withdrawn | 3/3/2025 |
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.
