About Patrick Senguin Advisory

Meet Patrick Senguin

A trusted investment relationship advisor dedicated to helping clients explore opportunities and connect with established investment providers.

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Patrick Senguin with a client at Patrick Senguin Advisory

My Professional Background

I’m Patrick Senguin, founder of Patrick Senguin Advisory. With over 15 years of experience in client relationship management and investment coordination, I work with individuals and professionals who are looking to grow, diversify, and better manage their wealth.

My career in the securities industry began in 2002 and has included roles at TD Options, TD Ameritrade, MF Global and Charles Schwab. My focus is on building long-term relationships, understanding each client’s goals, and making the right introductions to trusted investment providers that align with their needs and risk profile.

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15+ Years of Experience

In investment and client relationship management

Client-Focused Approach

Personalized guidance and coordinated support

Trusted Network

Introductions to established, third-party investment providers

A client planning session at the PSA Wealth Advisory office.
A client planning session at the PSA Wealth Advisory office.
Credentials

Regulatory Snapshot

Verified details from the FINRA BrokerCheck report (CRD# 1528649).

2002Registered in the securities industry since
53U.S. states & territories approved
7Industry, principal & state exams passed
0Disclosure events reported
Experience

Registration & Employment History

Firms with which Patrick has been registered.

  1. – Present

    Charles Schwab & Co., Inc.Current

    Registered Representative · CRD# 5393 · Chicago, IL

  2. –

    TD Ameritrade, Inc.

    Registered Representative · CRD# 7870 · Chicago, IL

  3. –

    Gar Wood Securities, LLC

    Associated Person · CRD# 138033 · Chicago, IL

  4. –

    IMM Execution Services LLC

    CRD# 159234 · Chicago, IL

  5. –

    MEB Options, LLC

    Chicago, IL

  6. –

    MF Global Inc. & Global Execution Brokers, LP

    Registered 2008 – 2010

  7. –

    TD Professional Execution, Inc. & TD Options LLC

    Registered 2002 – 2006

Examinations

Licenses & Exams Passed

Securities industry examinations administered by FINRA.

Principal / Supervisory

Series 9

General Securities Sales Supervisor – Options Module

Principal/Supervisory

General Industry / Product

Series 7TO

General Securities Representative Examination (Top-Off)

General Industry
Series 34

Retail Off-Exchange FOREX Examination

General Industry
Series 3

National Commodity Futures Examination

General Industry
SIE

Securities Industry Essentials Examination

General Industry
Series 7

General Securities Representative Examination

General Industry

State Securities Law

Series 63

Uniform Securities Agent State Law Examination

State Securities Law
Registrations

Where Patrick Is Registered

Self-Regulatory Organizations

FINRA and Nasdaq Stock Market, as a General Securities Representative.

53 U.S. States & Territories

Approved as an Agent across the U.S., including D.C., Puerto Rico and the Virgin Islands.

No Disclosure Events

No customer complaints, regulatory actions, terminations or judgments are reported.

Public, Verifiable Record

Every detail above can be confirmed independently on FINRA BrokerCheck.

FINRA BrokerCheck Report

Download the complete report for Patrick Senguin: qualifications, registration history, employment history and disclosure information.

PDF · 10 pages · CRD# 1528649
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Source: FINRA BrokerCheck, a free tool from the Financial Industry Regulatory Authority. The report is registered under the name Patrick Michael Seguin. For the most current information, check BrokerCheck directly.

My Commitment

To provide a professional, transparent, and personalized experience as you explore investment opportunities.

Contact Patrick