David W. Bradley

SPECTRUM FINANCIAL ADVISORS LLC

Brentwood, TN 37027

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CRD#: 1270392

Professional summary

David Wayne Bradley is a registered financial advisor currently at SPECTRUM FINANCIAL ADVISORS LLC located in Brentwood, Tennessee.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. David has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 David Wayne Bradley'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

September 24, 2019 - Present

SPECTRUM FINANCIAL ADVISORS LLC

Office #1: 9250 Chevoit Drive, Brentwood, TN 37027

RIA

CRD#: 301915

Brentwood, TN

Past

August 31, 2018 - October 4, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Brentwood, TN

Past

August 31, 2018 - October 4, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Brentwood, TN

Past

July 1, 2003 - September 5, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BRENTWOOD, TN

Past

July 1, 2003 - September 5, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BRENTWOOD, TN

Past

June 19, 1984 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

BRENTWOOD, TN

Past

May 30, 1984 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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

Tennessee
(9/24/2019)

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: 1/20/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/31/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/3/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Current Firm

SPECTRUM FINANCIAL ADVISORS LLC

CRD#: 301915 / SEC#:

Tennessee

Registered Investment Advisory firm - (9/24/2019 Approved)

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Contact information

Main Address

Brentwood, TN

Mailing Address

9250 Chevoit Dr, Brentwood, TN 37027-6140

Phone number

(615) 545-8080

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 20,514,823

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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Firm Stability Insights

David W. Bradley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Wayne Bradley's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/20/1993

Series 63

Date: 5/31/1984

SIE

Date: 10/1/2018

Series 3

Date: 3/3/1986

Series 7

Date: 5/19/1984

Current Firm

SPECTRUM FINANCIAL ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SPECTRUM FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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