SB
Shawn M. Bragdon
TLG ADVISORS
Costa Mesa, CA 92626
Some features on this profile are disabled
CRD#: 1837011
SB
Professional summary
Shawn Michael Bragdon is a registered financial advisor currently at TLG ADVISORS, INC. located in Costa Mesa, California and THE LEADERS GROUP, INC. located in Summit, New Jersey.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Shawn has worked at 11 firms and has passed the Series 65, Series 63, 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.
1.) BGAGENTS INSURANCE SERVICES INC (DBA: BGA INSURANCE) - 6/1/2008 - 2900 Bristol Street Suite B-300, Costa Mesa, CA 92626 - Managing Partner, wholesale life insurance-annuities-di-ltc products to independent agents and agencies, manage/maintain and cultivate relationships with insurance carrier partners, wholesaler for fixed life, annuities, ltc and disability products. My target market is people with a life insurance license, Not Invt Rel, 150 hrs/mo;120 hrs/mo (during trading hours). 2.) BGA DIRECT INSURANCE SERVICES - 7/1/2009 - 18633 Santa Ynez Street, Fountain Valley, CA 92708 - President, from time to time I am the writing agent for a fixed life insurance product, retail commission from the sale of life ins-annuities-ltc-di income products typically flow through this company, Not Invt Rel, 8 hrs/mo;4 hrs/mo (during trading hours). 3.) AXXCESS WEALTH MANAGEMENT LLC - 1/1/2016 - 6005 Hidden Valley Road, Suite 290, Carlsbad, CA 92011 - Referring Advisor, refer prospects and clients to axxcess wealth management, this firm is an RIA & TPA for 401k's (referring agents & retail clients to this firm which clears through Charles Schwab & TD Ameritrade), Invt Rel, 1 hrs/mo;0 hrs/mo (during trading hours). 4.) TLG ADVISORS, INC. - 2/14/2017 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, IAR Business, 0 hrs/mo;0 hrs/mo (during trading hours). 5.) Life Settlements - 2/18/2021 - 2900 Bristol Street Suite B-300, Costa Mesa CA 92626 - Referrer - Refer advisors to settlement brokers to facilitate a life settlement, Inv't Rel, 0hrs/mo; 0 hrs/mo (during trading hours).
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Michael Bragdon'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
February 15, 2017 - Present
TLG ADVISORS, INC.
Office #1: 2900 Bristol Street, Suite B300, Costa Mesa, CA 92626RIA
CRD#: 111052
Costa Mesa, CA
Current
February 7, 2017 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901BD
CRD#: 37157
Summit, NJ
Past
April 18, 2016 - October 24, 2016
ARETE WEALTH MANAGEMENT, LLC
BD
CRD#: 44856
CHICAGO, IL
Past
February 14, 2012 - April 13, 2016
P.J. ROBB VARIABLE, LLC
BD
CRD#: 38339
MEMPHIS, TN
Past
April 14, 2010 - February 8, 2012
OSAIC FS, INC.
RIA
CRD#: 3870
NEWPORT BEACH, CA
Past
April 13, 2010 - February 8, 2012
OSAIC FS, INC.
BD
CRD#: 3870
NEWPORT BEACH, CA
Past
November 12, 2008 - March 24, 2010
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
NEWPORT BEACH, CA
Past
November 3, 2008 - March 24, 2010
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
NEWPORT BEACH, CA
Past
December 11, 2006 - August 22, 2008
OSAIC FS, INC.
RIA
CRD#: 3870
NEWPORT BEACH, CA
Past
December 7, 2006 - August 22, 2008
OSAIC FS, INC.
BD
CRD#: 3870
NEWPORT BEACH, CA
Past
July 12, 2006 - October 16, 2006
LINCOLN FINANCIAL DISTRIBUTORS, INC.
RIA
CRD#: 145
RADNOR, PA
Past
July 12, 2006 - October 16, 2006
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
June 20, 2002 - July 13, 2006
OSAIC FS, INC.
RIA
CRD#: 3870
NEWPORT BEACH, CA
Past
April 2, 1992 - July 13, 2006
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
March 16, 1990 - November 30, 1990
AMERICAN FRONTEER FINANCIAL CORPORATION
BD
CRD#: 1398
DENVER, CO
Past
March 22, 1989 - March 3, 1990
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past
June 6, 1988 - February 28, 1989
POWER SECURITIES CORPORATION
BD
CRD#: 15527
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".
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
Registered Investment Advisory firm - (8/6/2001 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
California(2/8/2017)
IAR
California(2/15/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
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Contact information
Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
Phone number
(888) 371-0013
Established
Firm type
Fiscal year end
# of Employees
280
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
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.
