JB
John F. Bragg
BRAGG FINANCIAL ADVISORS
Charlotte, NC 28203
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CRD#: 1884207
JB
Professional summary
John Frank Bragg III, CFP®, who also goes by John Frank (iii) Bragg, is a registered financial advisor currently at BRAGG FINANCIAL ADVISORS INC located in Charlotte, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. John has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Investment Planning
Retirement Income Management
Insurance Planning
Social Security Planning
Estate Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Are you a "fiduciary"?
Yes
Aliases
John Frank (iii) Bragg
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.) 1031 S, LLC, CHARLOTTE, NC, 8.68% LIMITED LIABILITY MEMBER, NON-INVESTMENT RELATED, JOHN F. BRAGG, III SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING AND NON-TRADING HOURS. 2.) 2500 DISTRIBUTION STREET INVESTORS, LLC, CHARLOTTE, NC. 14.22% LIMITED LIABILITY MEMBER, NON-INVESTMENT RELATED, JOHN F. BRAGG, III SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING AND NON-TRADING HOURS. 3.) LOST HIGHWAY, LLC, CHARLOTTE, NC, 20% LIMITED LIABILITY MEMBER, NON-INVESTMENT RELATED, JOHN F. BRAGG, III SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING AND NON-TRADING HOURS. 4.) IREDELL AVENUE RESIDENTIAL DEVELOPMENT, LLC, CHARLOTTE, NC, 20% LIMITED LIABILITY MEMBER, NON-INVESTMENT RELATED, JOHN F. BRAGG, III SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING AND NON-TRADING HOURS. 5.) SEVENTY THREE, LLC, CHARLOTTE, NC, 25% LIMITED LIABILITY MEMBER, NON-INVESTMENT RELATED, JOHN BRAGG III SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING AND NON TRADING HOURS. 6.) NEW MILLENNIUM COMMUNICATIONS, LLC, ORGANIZED IN NORTH CAROLINA, LLC MEMBER, NON-INVESTMENT RELATED, JOHN BRAGG III SPENDS ZERO HOURS PER MONTH ON THIS ACTIVITY DURING TRADING AND NON-TRADING HOURS. 7. ) 96 DEACON, LLC, ORGANIZED IN NORTH CAROLINA, LLC MEMBER, NON INVESTMENT RELATED, JOHN BRAGG III SPENDS ZERO HOURS PER MONTH DURING TRADING HOURS AND ZERO HOURS PER MONTH DURING NON-TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view John Frank Bragg III'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®
CFP®
Start date: 1996
Experience
Current
August 14, 2020 - Present
BRAGG FINANCIAL ADVISORS INC
Office #1: 1031 South Caldwell St Suite 200, Charlotte, NC 28203RIA
CRD#: 108780
Charlotte, NC
Past
May 9, 2001 - September 2, 2020
QUEENS ROAD SECURITIES, LLC
BD
CRD#: 104277
CHARLOTTE, NC
Past
November 28, 2000 - December 18, 2000
QUEENS ROAD SECURITIES, LLC
BD
CRD#: 104277
CHARLOTTE, NC
Past
October 15, 1993 - December 11, 2000
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
April 30, 1993 - May 9, 2001
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
May 29, 1990 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Past
December 6, 1988 - December 31, 1992
G. R. PHELPS & CO., INC.
BD
CRD#: 173
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".
BF
BRAGG FINANCIAL ADVISORS INC
BRAGG FINANCIAL ADVISORS INC
CRD#: 108780 / SEC#: 801-56890
RIA
Registered Investment Advisory firm - (10/12/1999 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
North Carolina(8/14/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
BF
BRAGG FINANCIAL ADVISORS INC
BRAGG FINANCIAL ADVISORS INC
CRD#: 108780 / SEC#: 801-56890
RIA
Registered Investment Advisory firm - (10/12/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1031 South Caldwell St Suite 200, Charlotte, NC 28203
Mailing Address
Phone number
(704) 377-0261
Established
Firm type
Fiscal year end
# of Employees
33
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,552 |
| AUM (Assets Under Management) | $ 3,904,367,607 |
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.
