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Patrick Austin Brady

CRD# 7337164·Registered 2021 - 2021
Previously Registered: Being a previously registered professional could mean that Patrick 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.

Professional Summary

Patrick Austin Brady, who also goes by Patrick Brady, was a registered financial advisor. Patrick was a previously registered financial professional and started their career in finance 2021 - 2021. Patrick had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Patrick Brady

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

5 years in the financial services industry

Current & Past Employments

CRI SECURITIES, LLC·CRD# 22589
RIA
San Diego, CA
May 7, 2021 - October 28, 2021
SECURIAN FINANCIAL SERVICES, INC.·CRD# 15296
RIA
San Diego, CA
May 7, 2021 - March 16, 2022
CRI SECURITIES, LLC·CRD# 22589
BD
San Diego, CA
March 17, 2021 - October 28, 2021
SECURIAN FINANCIAL SERVICES, INC.·CRD# 15296
BD
San Diego, CA
March 17, 2021 - March 16, 2022

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Current Firm

CS
CRI SECURITIES, LLC

C.R.I. SECURITIES, INC. | CRI SECURITIES, LLC | C.R.I. SECURITIES, LLC

CRD#: 22589 / SEC#: 801-62434, 8-39877
BD
Terminated by SEC on 01/14/2022

Contact Information

Main Address

400 Robert Street North, St.paul, MN 55101

Established

Minnesota since 12/01/2004

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CARPENTER, KIMBERLY KAYSENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER & ANTI-MONEY LAUNDERING COMPLIANCE OFFICER4266541
FERGUSON, KRISTIN MARYVICE PRESIDENT, TREASURER, CHIEF FINANCIAL OFFICER & FINOP6895121

Disclosures

Regulatory Event

1

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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.

NORTH STAR FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 02/10/2021 ADDRESS: 2701 University Avenue SE, Minneapolis MN 55414, United States DESCRIPTION: Fixed Insurance sales with carriers outside of Securian Financial or MN Life Insurance Co. FINANCIAL HAUS POSITION: Agent/Broker NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/04/2021 ADDRESS: 1253 University Ave, Suite 1004, San Diego CA 92103, United States DESCRIPTION: Doing business as name only- No change to business or operations RRDS POSITION: Consultant NATURE: Sales INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 08/09/2021 ADDRESS: 12 Goodyear #100, Irvine CA 92618, United States DESCRIPTION: Assisting RRDs' team with business development and contract writing

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Apr 2021About the Series 66 exam

Series 7TO — General Securities Representative Examination

Passed Mar 2021About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Feb 2021About the SIE exam

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CRS (Client Relationship Summary)

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

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