Bradford J. Pappas

ROCKY MOUNTAIN HUMANE INVESTING LLC

Lyons, CO

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CRD#: 1249537

Professional summary

Bradford Jordan Pappas, who also goes by Brad Pappas, is a registered financial advisor currently at ROCKY MOUNTAIN HUMANE INVESTING LLC located in Lyons, Colorado.

Bradford is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Bradford has worked at 5 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brad Pappas

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) - RIA

Click below to view Bradford Jordan Pappas's CRS (Customer Relationship Summary).

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

Current

January 1, 1999 - Present

ROCKY MOUNTAIN HUMANE INVESTING LLC

RIA

CRD#: 113421

Lyons, CO

Past

January 1, 1999 - December 31, 2003

ROCKY MOUNTAIN HUMANE INVESTING LLC

RIA

CRD#: 113421

FORT COLLINS, CO

Past

May 12, 1995 - January 9, 1997

D.E. FREY & COMPANY, INC.

CRD#: 23595

DENVER, CO

Past

January 24, 1990 - April 6, 1995

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

January 15, 1988 - September 29, 1988

FIRST ASIAN SECURITIES CORPORATION

CRD#: 18123

Past

April 19, 1983 - December 21, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(8/6/2001)

IAR

Colorado
(1/1/1999)

IAR

Florida
(9/19/2018)

IAR

Texas
(1/21/2004)

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 65

Date: 5/19/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/26/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/7/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

Current Firm

ROCKY MOUNTAIN HUMANE INVESTING LLC

OPTIMIZED PARTNERS | ROCKY MOUNTAIN HUMANE INVESTING LLC | ROCKY MOUNTAIN HUMANE INVESTING CORPORATION | ROCKY MOUNTAIN HUMANE INVESTING CORP. | ROCKY MOUNTAIN HUMANE INVESTING

CRD#: 113421 / SEC#:

California

Registered Investment Advisory firm - (8/6/2001 Approved)

Colorado

Registered Investment Advisory firm - (1/1/1999 Approved)

Florida

Registered Investment Advisory firm - (9/19/2018 Approved)

New Mexico

Registered Investment Advisory firm - (6/14/2021 Terminated)

Texas

Registered Investment Advisory firm - (1/21/2004 Approved)

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).

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Contact information

Main Address

Denver, CO

Mailing Address

P.o. Box 475, Allenspark, CO 80510

Phone number

(970) 222-2592

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	43
AUM (Assets Under Management)	$ 12,273,132

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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Bradford J. Pappas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradford Jordan Pappas's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKY MOUNTAIN HUMANE INVESTING LLC

ROCKY MOUNTAIN HUMANE INVESTING LLC

D.E. FREY & COMPANY, INC.

A. G. EDWARDS & SONS, INC.

FIRST ASIAN SECURITIES CORPORATION

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/19/1995

Series 63

Date: 3/26/1984

Series 3

Date: 11/7/1986

Series 7

Date: 3/17/1984

Current Firm

ROCKY MOUNTAIN HUMANE INVESTING LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROCKY MOUNTAIN HUMANE INVESTING LLC

TRUST BUT VERIFY

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