Bradley J. Powell
Professional summary
Being a previously registered professional could mean that this person 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.
Bradley Jay Powell, CFP®, who also goes by Brad Powell, was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1985. Bradley had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2011 - April 15, 2025
RAYMOND JAMES & ASSOCIATES, INC.
May 4, 2009 - November 1, 2011
DEMPSEY FINANCIAL NETWORK, INC.
March 2, 2006 - March 17, 2008
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
September 4, 1998 - January 21, 2006
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
March 16, 1995 - December 31, 2003
NATIONAL PLANNING CORPORATION
July 28, 1989 - July 7, 1994
KEYPORT FINANCIAL SERVICES CORP.
December 24, 1987 - July 29, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
August 18, 1987 - December 2, 1987
INLAND SECURITIES CORPORATION
February 19, 1986 - June 15, 1987
INVEST FINANCIAL CORPORATION
April 22, 1985 - January 20, 1986
MCNEIL SECURITIES CORPORATION
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
