Bernard J. Braudis

SOLTIS INVESTMENT ADVISORS

Marshfield, MA

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CRD#: 1739556

Professional summary

Bernard James Braudis, who also goes by B J Braudis II, Bernard James Braudis Ii, Bernard James Braudis, Bernie Braudis Ii, Bj Braudis, is a registered financial advisor currently at SOLTIS INVESTMENT ADVISORS, LLC located in Marshfield, Massachusetts.

Bernard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Bernard has worked at 12 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

B J Braudis Ii | Bernard James Braudis Ii | Bernard James Braudis | Bernie Braudis Ii | Bj Braudis

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.

Fintech Consulting- Periodically consult Fintech companies on user experience, data integrations and potential enhancements.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bernard James Braudis's CRS (Customer Relationship Summary).

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

February 3, 2022 - Present

SOLTIS INVESTMENT ADVISORS, LLC

RIA

CRD#: 154690

Marshfield, MA

Past

December 13, 2018 - December 17, 2019

GREEN SQUARE CAPITAL ADVISORS

RIA

CRD#: 285467

WINCHESTER, MA

Past

May 12, 2017 - February 12, 2018

HERBERT J. SIMS & CO, INC.

CRD#: 3420

FAIRFIELD, CT

Past

April 21, 2017 - February 27, 2018

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

RIA

CRD#: 134510

Boston, MA

Past

April 28, 2014 - April 28, 2017

GREENWICH INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 127161

MARSHFIELD, MA

Past

June 24, 2013 - December 31, 2013

CAPITAL MARKET CONSULTANTS, INC.

RIA

CRD#: 122435

MARSHFIELD, MA

Past

August 13, 2012 - April 9, 2014

FOSS MOUNTAIN CAPITAL, LLC

RIA

CRD#: 164903

MARSHFIELD, MA

Past

September 17, 2003 - September 2, 2004

COLUMBIA MANAGEMENT ADVISORS, INC.

RIA

CRD#: 105842

BOSTON, MA

Past

February 13, 2002 - July 1, 2002

BANC OF AMERICA SECURITIES LLC

RIA

CRD#: 26091

BOSTON, MA

Past

September 19, 2000 - July 1, 2002

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

January 3, 1990 - September 28, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

February 15, 1988 - January 8, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

Past

October 20, 1987 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

SOLTIS INVESTMENT ADVISORS, LLC

CRD#: 154690 / SEC#: 801-71833

RIA

Registered Investment Advisory firm - (9/20/2010 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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(2/3/2022)

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

Series 63

Date: 8/28/2017

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/7/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/12/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/12/2017

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/15/1987

National Commodity Futures Examination

Current Firm

SOLTIS INVESTMENT ADVISORS, LLC

CRD#: 154690 / SEC#: 801-71833

RIA

Registered Investment Advisory firm - (9/20/2010 Approved)

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Contact information

Main Address

20 North Main Suite 400, St. George, UT 84770

Mailing Address

Phone number

(435) 674-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOLTIS BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,499
AUM (Assets Under Management)	$ 8,352,553,865

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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Advisor Monitoring

Firm Stability Insights

Bernard J. Braudis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bernard James Braudis's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREEN SQUARE CAPITAL ADVISORS

HERBERT J. SIMS & CO, INC.

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

GREENWICH INVESTMENT MANAGEMENT, INC.

CAPITAL MARKET CONSULTANTS, INC.

FOSS MOUNTAIN CAPITAL, LLC

COLUMBIA MANAGEMENT ADVISORS, INC.

BANC OF AMERICA SECURITIES LLC

BANC OF AMERICA SECURITIES LLC

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

SOLTIS INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/28/2017

Series 66

Date: 12/7/2000

SIE

Date: 2/12/2018

Series 7

Date: 5/12/2017

Series 3

Date: 10/15/1987

Current Firm

SOLTIS INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOLTIS INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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