linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Patrick Morgan Aswad

BMO Capital Markets Corp.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Patrick? Claim Your Profile

About Patrick Morgan Aswad

Patrick Aswad is a financial professional with over 20 years of experience in the industry. Patrick is currently registered with BMO Capital Markets Corp. and is located in Chicago, Illinois. Patrick has held previous positions with KGS-ALPHA CAPITAL MARKETS, L.P., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, BANC OF AMERICA SECURITIES LLC, and MORGAN KEEGAN & COMPANY, INC.

Firm Information

Patrick Aswad is currently registered with BMO Capital Markets Corp.. BMO Capital Markets Corp. is a Corporation headquartered in NEW YORK, NY. Founded in March 1988, the firm has a broad reach with state-level registrations in all 50 states plus Puerto Rico and the Virgin Islands. It offers investment advisory services, including portfolio management for pooled investment vehicles, and holds approximately $10 billion - $50 billion in assets. BMO Capital Markets Corp. primarily serves investment companies and pooled investment vehicles, with a total of 113 clients and $796,416,350 in regulatory assets under management.
BMO Capital Markets Corp.

151 WEST 42ND STREET

NEW YORK, NY 10036

$796.42M

Assets Under Management

113

Total Clients

178

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

check

provision of securities trading ideas and research

Provision of securities trading ideas and research

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

check

percentage of assets

A percentage of the total value of assets under management is charged.

check

other

Fees for securities trading ideas and research

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Patrick Aswad’s Registration & Firm History

IL

09/01/2018 - Present

BMO Capital Markets Corp. (CHICAGO IL)

IL

10/06/2014 - 09/01/2018

KGS-ALPHA CAPITAL MARKETS, L.P. (CHICAGO IL)

IL

11/01/2010 - 06/23/2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHICAGO IL)

GA

02/27/2009 - 11/01/2010

BANC OF AMERICA SECURITIES LLC (ATLANTA GA)

GA

07/13/2004 - 03/03/2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ATLANTA GA)

TN

08/16/2000 - 07/19/2004

MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)

NJ

08/14/2000 - 09/12/2000

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

08/27/1997 - 08/14/2000

J.C. BRADFORD & CO. (NEW YORK NY)

Not sure if Patrick Morgan Aswad is right for you?

Licenses & Designations

BOTH

Issued 04/13/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/28/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/26/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Patrick Morgan Aswad.
Not sure if Patrick Morgan Aswad is right for you?