DB
Drew A. Brazie
WESTMINSTER FINANCIAL ADVISORY CORP
Dayton, OH 45458
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CRD#: 1396284
DB
Professional summary
Drew Alan Brazie is a registered financial advisor currently at WESTMINSTER FINANCIAL ADVISORY CORP located in Dayton, Ohio and TUDOR FINANCIAL, INC. located in Dayton, Ohio.
Drew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Drew has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE 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.
Tudor Financial IAR 8111 Timberlodge Trail Dayton, OH 45458 20 Hours a week Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Drew Alan Brazie'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®
NoneExperience
Current
March 31, 2003 - Present
WESTMINSTER FINANCIAL ADVISORY CORP
Office #1: 8111 Timerblodge Trail, Dayton, OH 45458RIA
CRD#: 110283
Dayton, OH
Current
August 11, 2004 - Present
TUDOR FINANCIAL, INC.
Office #1: 8111 Timberlodge Trail, Dayton, OH 45458-2103Office #2: 8111 Timberlodge Trail, Dayton, OH 45458-2103RIA
CRD#: 121495
Dayton, OH
Current
November 16, 1987 - Present
WESTMINSTER FINANCIAL SECURITIES, INC.
Office #1: 8111 Timberlodge Trail, Dayton, OH 45458BD
CRD#: 20677
Dayton, OH
Past
January 24, 1986 - October 20, 1987
FSC SECURITIES CORPORATION
BD
CRD#: 7461
Past
August 28, 1985 - February 3, 1986
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WF
WESTMINSTER FINANCIAL ADVISORY CORP
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH WYND CAPITAL | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
CRD#: 110283 / SEC#: 801-29690
RIA
Registered Investment Advisory firm - (6/15/1987 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/6/2024)
RR
California(12/19/2006)
RR
Colorado(3/9/2005)
RR
Connecticut(12/6/2005)
RR
Florida(7/22/1996)
IAR
Florida(5/18/2018)
RR
Georgia(1/6/2023)
RR
Illinois(7/21/2009)
RR
Indiana(4/7/1999)
RR
Kentucky(8/17/1999)
RR
Maryland(9/10/2008)
RR
Michigan(1/6/1999)
RR
Nevada(3/22/2016)
RR
New Jersey(11/26/2018)
RR
New Mexico(1/26/2023)
RR
New York(10/8/1998)
RR
North Carolina(3/4/2015)
RR
Ohio(11/17/1987)
IAR
Ohio(3/31/2003)
RR
Pennsylvania(6/25/1999)
RR
South Carolina(6/25/2008)
RR
Tennessee(7/19/2018)
RR
Utah(11/27/2013)
RR
Virginia(10/9/1998)
RR
Washington(4/26/2019)
RR
West Virginia(1/8/2019)
RR
Wisconsin(8/13/2002)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WESTMINSTER FINANCIAL ADVISORY CORP
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH WYND CAPITAL | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
CRD#: 110283 / SEC#: 801-29690
RIA
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Contact information
Main Address
50 Chestnut Street Suite A-400, Beavercreek, OH 45440
Mailing Address
Phone number
(937) 898-5010
Established
Firm type
Fiscal year end
# of Employees
46
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,255 |
| AUM (Assets Under Management) | $ 1,224,901,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2024 | ||
| 02/26/2024 | ||
| 12/09/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WESTMINSTER FINANCIAL ADVISORY CORP
CRD#: 110283Dayton, OH 45458TRUST BUT VERIFY
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Contact information
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