PA
Patrick M. Aswad
BMO CAPITAL MARKETS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2937720
PA
Professional summary
Patrick Morgan Aswad is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in Chicago, Illinois.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 1997. Patrick has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Patrick Morgan Aswad'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
September 1, 2018 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 320 South Canal Street, Chicago, IL 60606BD
CRD#: 16686
Chicago, IL
Past
October 6, 2014 - September 1, 2018
KGS-ALPHA CAPITAL MARKETS, L.P.
BD
CRD#: 151705
CHICAGO, IL
Past
November 1, 2010 - June 23, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHICAGO, IL
Past
February 27, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
ATLANTA, GA
Past
August 12, 2004 - March 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ATLANTA, GA
Past
July 13, 2004 - March 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ATLANTA, GA
Past
August 16, 2000 - July 19, 2004
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
August 14, 2000 - September 12, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 27, 1997 - August 14, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
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
Alabama(9/1/2018)
RR
Alaska(9/1/2018)
RR
Arizona(9/1/2018)
RR
Arkansas(9/1/2018)
RR
California(9/1/2018)
RR
Colorado(9/1/2018)
RR
Connecticut(9/1/2018)
RR
Delaware(9/1/2018)
RR
District of Columbia(9/1/2018)
RR
Florida(9/1/2018)
RR
Georgia(9/1/2018)
RR
Hawaii(9/1/2018)
RR
Idaho(9/1/2018)
RR
Illinois(9/1/2018)
RR
Indiana(9/1/2018)
RR
Iowa(9/1/2018)
RR
Kansas(9/1/2018)
RR
Kentucky(9/1/2018)
RR
Louisiana(9/1/2018)
RR
Maine(9/1/2018)
RR
Maryland(9/1/2018)
RR
Massachusetts(9/1/2018)
RR
Michigan(9/1/2018)
RR
Minnesota(9/1/2018)
RR
Mississippi(9/1/2018)
RR
Missouri(9/1/2018)
RR
Montana(9/1/2018)
RR
Nebraska(9/1/2018)
RR
Nevada(9/1/2018)
RR
New Hampshire(9/1/2018)
RR
New Jersey(9/1/2018)
RR
New Mexico(9/1/2018)
RR
New York(9/1/2018)
RR
North Carolina(9/1/2018)
RR
North Dakota(9/1/2018)
RR
Ohio(9/1/2018)
RR
Oklahoma(9/1/2018)
RR
Oregon(9/1/2018)
RR
Pennsylvania(9/1/2018)
RR
Puerto Rico(9/1/2018)
RR
Rhode Island(9/1/2018)
RR
South Carolina(9/1/2018)
RR
South Dakota(9/1/2018)
RR
Tennessee(9/1/2018)
RR
Texas(9/1/2018)
RR
Utah(9/1/2018)
RR
Vermont(9/1/2018)
RR
Virginia(9/1/2018)
RR
Washington(9/1/2018)
RR
West Virginia(9/1/2018)
RR
Wisconsin(9/1/2018)
RR
Wyoming(9/1/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BC
BMO CAPITAL MARKETS CORP.
B2RICK SECURITIES | HARRIS NESBITT GERARD, INC. | HARRIS NESBITT CORP. | GERARD KLAUER MATTISON & COMPANY | GERARD KLAUER MATTISON & CO.,L.L.C. | GERARD KLAUER MATTISON & CO., L.L.C. | GERARD KLAUER MATTISON & CO., INC. | BRICK SECURITIES PARTNERS, L.P. | BRICK SECURITIES ASSOCIATES | BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
151 West 42nd Street, New York, NY 10036
Mailing Address
151 West 42nd Street, New York, NY 10036
Phone number
(212) 702-1101
Established
Delaware since 03/28/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,275
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | SHAREHOLDER | |
| BRICKLEY, THOMAS JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 3028843 |
| ESTEY, WARREN FRANCIS | MANAGING DIRECTOR, INVESTMENT BANKING | 3114183 |
| FORLENZA, MICHAEL | HEAD, CHIEF OPERATING OFFICER | 5886049 |
| KAHRAMAN, LEVENT | MANAGING DIRECTOR, GLOBAL MARKETS | 2802822 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
| YUKILEVICH, DANIEL | CHIEF COMPLIANCE OFFICER | 5635481 |
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,210,751,477 |
Disclosures
| Regulatory Event | 46 |
| Civil Event | 1 |
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.
