Brad L. Weber
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.
Brad Lawrence Weber was a registered financial professional .
Brad is a previously registered financial professional and started their career in finance in 1990. Brad had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2022 - August 3, 2023
SAVVY
February 21, 2013 - November 28, 2022
BANCWEST INVESTMENT SERVICES, INC.
February 21, 2013 - November 28, 2022
BANCWEST INVESTMENT SERVICES, INC.
April 9, 2012 - September 18, 2012
EQUITABLE ADVISORS, LLC
September 8, 1992 - August 28, 1997
WAMU INVESTMENTS, INC.
July 30, 1991 - August 17, 1992
MARKETING ONE SECURITIES, INC.
March 20, 1990 - July 31, 1991
IDS LIFE INSURANCE COMPANY
March 20, 1990 - July 31, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
SAVVY
CRD#: 318493 / SEC#: 801-123656
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
SAVVY
CRD#: 318493 / SEC#: 801-123656
Contact information
SEC notice filing (38 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,776 |
| AUM (Assets Under Management) | $ 1,295,318,161 |
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.
