Bradley D. Amundson
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 Dale Amundson, who also goes by Brad Amundson, 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 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2001 - October 30, 2002
SOMERSET FINANCIAL GROUP, INC.
October 9, 2000 - August 13, 2001
FIRST AMERICAN SECURITIES, INC.
April 3, 1997 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 3, 1997 - April 8, 1999
SIGNATOR INVESTORS, INC.
December 18, 1992 - June 27, 1996
PIPER SANDLER & CO.
April 10, 1991 - December 10, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
SOMERSET FINANCIAL GROUP, INC.
CRD#: 46507 / SEC#: , 8-51445
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOMERSET FINANCIAL PARTNERS | SOLE SHAREHOLDER | |
| BERG MCAFEE COMPANY | SHAREHOLDER | |
| PETTENGILL, CHRISTOPHER | OWNER | 1696077 |
| PETTENGILL, CHRISTOPHER | SHAREHOLDER | 1696077 |
| KRILL, RICHARD EDWARD | CONTROLLER/ FINOP | 3190120 |
| THOMPSON, NICHOLAS PATRICK | MANAGING DIRECTOR, SECRETARY | 1732216 |
| TOTH, DOUGLAS JOHN | PRESIDENT | 2332079 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 6 |
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.
