BS
Bradley J. Saunders
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CRD#: 2124042
BS
Bradley John Saunders
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.
Bradley John Saunders was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1991. Bradley had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
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.
Busi Nm: California Wealth Transitions Investment Related: Yes Address: 3 Pointe Drive, Suite 111 Brea CA 92821 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through an independent outside RIA Title: IAR Start Date: 7/1/2020 Hrs/mth: 91% - 100% (145 - 160 hours) Hrs/mth during trading hours: 91% - 100% (127 - 140 hours) Duties: Investment advisory and risk management for client funds. Financial planning. Insurance placement where appropriate. Busi Nm: LTCI Partners Investment Related: Yes Address: 100 Field Drive, Suite 310 Lake Forest, IL 80045 Nature of Business: Insurance Title: Referral source Start Date: 2/13/2018 Hrs/mth: 11% - 20% (17 - 32 hours) Hrs/mth during trading hours: 11% - 20% (15 - 28 hours) Duties: None Busi Nm: Windsor Insurance Investment Related: Yes Address: 21820 Burbank Blvd, Suite 100 South Burbank CA 91367 Nature of Business: Insurance Title: Referrals Start Date: 2/13/2018 Hrs/mth: 0-16 Hrs/mth during trading hours: 0-14 Duties: Referral source only. Windsor will quote, write, and place insurnace as needed for our referred clients. Busi Nm: Board Member for Acoma Plaza and Storage Condo Association Investment Related: No Address: 1640 Acoma Lake Havasu City AZ 86403 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.); Real Estate Title: I am currently an owner. I would also become a non-officer board member. Start Date: 1/6/2016 Hrs/mth: 0-16 Hrs/mth during trading hours: 0-14 Duties: Participate in an annual meeting to approve property manager, review financial statement, and vote on actions as needed for the benefit of the community Busi Nm: TUSTIN POLICE DEPARTMENT Investment Related: No Address: 300 CENTENNIAL WAY TUSTIN CA 92780 Nature of Business: Other Other/None of the Above Law enforcement agency Title: Master Reserver Police Officer Start Date: 12/11/2016 Hrs/mth: 0-16 Hrs/mth during trading hours: 0-14 Duties: Terrorism Liaison Officer, Cyber Security, IT Project Management for deployment of new technologies. Busi Nm: Bradley J. Saunders Trustee of the Saunders Family Trust UTA 9-8-2000 Investment Related: No Address: 1640 Acoma, Suites A-108, B-111. B-112 Lake Havasu City AZ 86403 Nature of Business: Real Estate Title: Owner and Trustee Start Date: 2/28/2014 Hrs/mth: 0-16 Hrs/mth during trading hours: 0-14 Duties: Collect rents Busi Nm: THIRTY 4 ENTERPRISES, LLC POSITION: Member NATURE: Vehicle ownership INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/27/2021 ADDRESS: PO Box 7667, Whitefish MT 59937 DESCRIPTION: This is not an operating entity which will traditional business activities. It is an LLC to hold personal assets titled in the State of Montana.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
February 28, 2014 - March 31, 2025
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
BREA, CA
Past
March 13, 2013 - March 31, 2025
KESTRA PRIVATE WEALTH SERVICES, LLC
RIA
CRD#: 155193
BREA, CA
Past
March 13, 2013 - March 7, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
BREA, CA
Past
June 1, 2009 - April 3, 2013
MORGAN STANLEY
RIA
CRD#: 149777
BREA, CA
Past
June 1, 2009 - April 3, 2013
MORGAN STANLEY
BD
CRD#: 149777
BREA, CA
Past
September 9, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
BREA, CA
Past
September 2, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
BREA, CA
Past
April 2, 2007 - September 5, 2007
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
BURBANK, CA
Past
April 2, 2007 - September 5, 2007
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
BURBANK, CA
Past
July 8, 1997 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
BURBANK, CA
Past
March 26, 1991 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
BURBANK, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
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
Principal/Supervisory Exam
RR
Series 8
Date: 3/2/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KI
KESTRA INVESTMENT SERVICES, LLC
KESTRA INVESTMENT SERVICES, LLC | PARTNERS SECURITIES, INC. | NFP SECURITIES, INC. | NFP SECIRITIES, INC. | NFP ADVISOR SERVICES, LLC | NFP ADVISOR SERVICES
CRD#: 42046 / SEC#: , 8-49672
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
5707 Southwest Parkway 2-125, Austin, TX 78746
Mailing Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Phone number
(844) 553-7872
Established
Texas since 09/01/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
