Patrick A. Lowe

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CRD#: 5465239

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Patrick Alexander Lowe, who also goes by Patrick Lowe, was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 2008. Patrick had worked at 12 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Patrick Lowe

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 8, 2024 - January 18, 2024

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

BOERNE, TX

Past

December 12, 2023 - December 12, 2023

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

BOERNE, TX

Past

February 14, 2022 - December 8, 2023

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

San Antonio, TX

Past

February 14, 2022 - December 8, 2023

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

San Antonio, TX

Past

July 8, 2021 - December 13, 2021

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

NEW BRAUNFELS, TX

Past

July 7, 2021 - July 7, 2021

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

NEW BRAUNFELS, TX

Past

July 7, 2021 - December 13, 2021

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

NEW BRAUNFELS, TX

Past

January 15, 2021 - June 22, 2021

HUB INVESTMENT PARTNERS, LLC

RIA

CRD#: 307956

Converse, TX

Past

February 27, 2018 - January 15, 2020

TD AMERITRADE, INC.

RIA

CRD#: 7870

SAN ANTONIO, TX

Past

February 26, 2018 - January 15, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

San antonio, TX

Past

February 26, 2018 - January 15, 2020

TD AMERITRADE, INC.

CRD#: 7870

SAN ANTONIO, TX

Past

January 24, 2017 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

June 16, 2016 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

HOUSTON, TX

Past

June 18, 2014 - May 4, 2015

TD AMERITRADE, INC.

RIA

CRD#: 7870

HOUSTON, TX

Past

June 18, 2014 - May 4, 2015

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

HOUSTON, TX

Past

June 16, 2014 - May 4, 2015

TD AMERITRADE, INC.

CRD#: 7870

HOUSTON, TX

Past

June 18, 2010 - April 23, 2014

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

June 16, 2010 - April 23, 2014

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

HOUSTON, TX

Past

April 6, 2009 - June 3, 2010

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

HOUSTON, TX

Past

April 6, 2009 - June 3, 2010

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

August 11, 2008 - March 4, 2009

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

HOUSTON, TX

Past

August 11, 2008 - March 4, 2009

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

HOUSTON, TX

Past

May 12, 2008 - August 1, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HOUSTON, TX

Past

March 20, 2008 - August 1, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

HOUSTON, 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".

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727 / SEC#: 801-62731, 8-51509

RIA

Registered Investment Advisory firm - SEC (2/6/2004 Approved)

California

Registered Investment Advisory firm - SEC (4/14/2004 Terminated)

Colorado

Registered Investment Advisory firm - SEC (4/15/2004 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/10/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/18/2008

General Securities Representative Examination

Current Firm

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727 / SEC#: 801-62731, 8-51509

RIA

Registered Investment Advisory firm - SEC (2/6/2004 Approved)

California

Registered Investment Advisory firm - SEC (4/14/2004 Terminated)

Colorado

Registered Investment Advisory firm - SEC (4/15/2004 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18925 Base Camp Road Suite 203, Monument, CO 80132

Mailing Address

18925 Base Camp Road, Monument, CO 80132

Phone number

(719) 488-9956

Established

Delaware since 01/01/2008

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

274

SEC notice filing (50 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

AAM ADV PART 2A BROCHURE (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
AAM HOLDINGS, INC	SHAREHOLDER
CORSO, CLIFFORD DEAN	CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR	2477519
DANIEL, BART PATRICK	CHIEF TECHNOLOGY OFFICER/DIRECTOR	4263841
FERONE, MARILEE	EXEC. VP	1450526
GENOVESE, CHRISTOPHER THOMAS	EXEC. VP/DIRECTOR	2255451
GILBERT, BRIAN WAYNE	SR. VP	1857325
LLOYD, MATTHEW WILLIAM	CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR	2460808
MEITZNER, ALEX ROBERT	SR. VP	1964373
OPIE, JEFFREY KURTIS	EXEC. VP, CHIEF FINANCIAL OFFICER	5763807
SICKLES, CHARLES EDWARD	EXEC. VP	2097390
STEWART, RICHARD ALAN	EXEC. VP	1653343
STOKLOSA, TIMOTHY JOHN	EXEC. VP, CHIEF OPERATING OFFICER	4897959
WEBBER, JOHN EDWIN	SVP, CHIEF COMPLIANCE OFFICER/SECRETARY	5169415

Regulatory assets under management

Total Number of Accounts	1,591
AUM (Assets Under Management)	$ 1,958,198,460

Disclosures

Regulatory Event	5
Arbitration	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.

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Advisor Monitoring

Firm Stability Insights

Patrick A. Lowe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ADVISORS ASSET MANAGEMENT, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

HUB INVESTMENT PARTNERS, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ADVISORS ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/10/2008

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/18/2008

Current Firm

ADVISORS ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ADVISORS ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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