Patrick Joseph Dwyer
Professional Summary
Patrick Joseph Dwyer, who also goes by Patrick Dwyer, is a registered financial advisor currently at ABN AMRO SECURITIES (USA) LLC located in New Brunswick, New Jersey. Patrick is registered as a RR (Registered Representative) and started their career in finance in 2003. Patrick has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Patrick Dwyer
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
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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Years of Experience
23 years in the financial services industry
Current & Past Employments
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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Current Firm
ABN AMRO SECURITIES (USA) LLC | MEESPIERSON SECURITIES LLC
Contact Information
Main Address
303 George Street 3rd Floor, New Brunswick, NJ 08901Mailing Address
303 George Street 3rd Floor, New Brunswick, NJ 08901Phone Number
(917) 284-6700Established
Delaware since 01/28/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
1Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
AMERIPRISE FINANCIAL SERVICES, LLC
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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.
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SUMMIT PLACE FINANCIAL ADVISORS, LLC
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State Registrations and Notice Filings
(5/5/2010)
(5/5/2010)
(4/15/2010)
(4/29/2010)
(4/15/2010)
(5/3/2010)
(4/15/2010)
(4/15/2010)
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(8/6/2010)
(4/23/2010)
(5/27/2010)
(4/14/2010)
(4/14/2010)
(4/15/2010)
(5/6/2010)
(4/14/2010)
(5/13/2010)
(4/14/2010)
(4/16/2010)
(5/11/2010)
(4/12/2010)
(4/26/2010)
(4/15/2010)
(5/5/2010)
(4/15/2010)
(4/22/2010)
(4/28/2010)
(4/29/2010)
(4/20/2010)
(4/22/2010)
(4/22/2010)
(4/14/2010)
(5/5/2010)
(4/29/2010)
(4/19/2010)
(4/20/2010)
(4/28/2010)
(4/21/2010)
(4/14/2010)
(5/11/2010)
(4/15/2010)
(4/15/2010)
(4/13/2010)
(4/12/2010)
(4/19/2010)
(5/3/2010)
(4/14/2010)
(4/14/2010)
(4/22/2010)
(4/14/2010)
(4/19/2010)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Patrick Joseph Dwyer's CRS (Customer Relationship Summary).
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