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PS

Patrick A. Sereda

ROTHSCHILD INVESTMENT
Chicago, IL 60606-6618
Some features on this profile are disabled
CRD#: 2857085
PS

Professional summary

Patrick Allen Sereda, who also goes by Patrick Allen Sereda, Patrick A Sereda, is a registered financial professional currently at ROTHSCHILD INVESTMENT LLC located in Chicago, Illinois.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 1998. Patrick has worked at 8 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 Allen Sereda | Patrick A 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patrick Allen Sereda'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

April 28, 2026 - Present

ROTHSCHILD INVESTMENT LLC

Office #1: 311 S. Wacker Drive Suite 5900, Chicago, IL 60606-6618Office #2: 311 South Wacker Drive Suite 5900, Chicago, IL 60606
RIA
BD
CRD#: 728
Chicago, IL
Past

April 23, 2025 - February 3, 2026

B. C. ZIEGLER AND COMPANY

BD
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

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".
ROTHSCHILD INVESTMENT LLC
ROTHSCHILD INVESTMENT LLC
ROTHSCHILD INVESTMENT | ROTHSCHILD INVESTMENT LLC | ROTHSCHILD INVESTMENT CORPORATION

CRD#: 728 / SEC#: 801-7395, 8-16429

RIA
Registered Investment Advisory firm - SEC (5/30/1971 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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
(4/28/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 4/9/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 4/23/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/2/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/16/2012
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/23/2007
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/9/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ROTHSCHILD INVESTMENT LLC
ROTHSCHILD INVESTMENT LLC
ROTHSCHILD INVESTMENT | ROTHSCHILD INVESTMENT LLC | ROTHSCHILD INVESTMENT CORPORATION

CRD#: 728 / SEC#: 801-7395, 8-16429

RIA
Registered Investment Advisory firm - SEC (5/30/1971 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
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Contact information

Main Address
311 S. Wacker Drive Suite 5900, Chicago, IL 60606-6677
Mailing Address
311 S. Wacker Drive Suite 5900, Chicago, IL 60606-6618
Phone number
(312) 983-8900
Established
Delaware since 10/07/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
41

SEC notice filing (32 States and Territories)

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

FINRA licenses (50 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (11/19/2025)

Direct owners and executive officers

NamePositionCRD#
ROTHSCHILD HOLDINGS, LLCOWNER
ELLERGODT, CURTIS ROBERTFINOP6012133
FRANKE, JAMES ALLYNMEMBER, OFFICER4728087
JOHNSON, PHILLIP EUGENEMEMBER, PRESIDENT2491084
LENART, BRIAN DOUGLASCCO/AMLCO736107
SOLOMON, JOEL EDWARDMEMBER, OFFICER704990

Regulatory assets under management

Total Number of Accounts2,425
AUM (Assets Under Management)$ 2,310,915,581

Disclosures

Regulatory Event15
Arbitration2

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/29/2026
Cover Page
Report
01/27/2025
Cover Page
Report
10/13/2023
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.

Company Information

ROTHSCHILD INVESTMENT LLC

ROTHSCHILD INVESTMENT LLC

CRD#: 728Chicago, IL 60606-6618

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