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Bradley W. Schutt

Some features on this profile are disabled
CRD#: 2140033
BS

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 William Schutt, who also goes by Bradley L Schutt, was a registered financial professional .

Bradley is a previously registered financial professional and started their career in finance in 1991. Bradley had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bradley L Schutt

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. SILVER-LINING FINANCIAL, INVESTMENT RELATED, 2177 PINON DRIVE, ERIE CO 80516; PRESIDENT, SINCE 6/16/08, 40 HRS/MTH, 8 HRS/DST. THIS IS A DBA NAME FOR MY SECURITIES ACTIVITY. 2. SILVER-LINING FINANCIAL, INVESTMENT RELATED, 2177 PINON DRIVE, ERIE CO 80516; PRESIDENT, SINCE 1/1/2011, 30 HRS/MTH, 20 HRS/DST. CORPORATE REGISTERED INVESTMENT ADVISOR - PROVIDE INVESTMENT ADVISORY SERVICES. 3. SILVER-LINING FINANCIAL, NOT INVESTMENT RELATED, 2177 PINON DRIVE, ERIE CO 80516; PRESIDENT, THESE ARE JUST RENTAL PROPERTIES THAT I OWN; 10/15/13; 20 HRS; 130 HRS SECURITIES; OWN SIX RENTAL PROPERTIES, COLLECT RENTS, DO MAINTENANCE ETC. 4. WALL ST PROPERTIES 2017; ADDRESS :2177 PINON DRIVE, ERIE CO 80516; POSITION :PRESIDENT; STARTDATE :01-DEC-2012; HOURS :10, SECURITYHOURS: 0.5; BRIEF DESCRIPTION OF DUTIES :OWN HOME IN LA PAZ MEXICO FOR VACATION RENTAL. 5. SILVER-LINING FINANCIAL POSITION: president NATURE: Fixed life insurance, term, whole life, disability INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 03/06/2018 ADDRESS: 2177 Pinon drive, Erie CO 80516, United States DESCRIPTION: Sell term products, life insurance, disability to current clients and referrals

Blog Corner

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®
None

Experience

Past

July 18, 2007 - December 31, 2010

UNITED SECURITIES ALLIANCE, INC.

RIA
CRD#: 36487
ENGLEWOOD, CO
Past

March 1, 2007 - July 26, 2024

OSAIC WEALTH, INC.

RIA
CRD#: 23131
ERIE, CO
Past

March 1, 2007 - July 15, 2024

OSAIC WEALTH, INC.

BD
CRD#: 23131
ERIE, CO
Past

June 15, 2006 - March 1, 2007

UNITED SECURITIES ALLIANCE, INC.

RIA
CRD#: 36487
SUPERIOR, CO
Past

April 28, 2006 - May 1, 2006

UNITED SECURITIES ALLIANCE, INC.

RIA
CRD#: 36487
SUPERIOR, CO
Past

April 28, 2006 - March 1, 2007

UNITED SECURITIES ALLIANCE, INC.

BD
CRD#: 36487
SUPERIOR, CO
Past

March 15, 2002 - May 3, 2006

SPC

RIA
CRD#: 110692
CENTENNIAL, CO
Past

February 9, 2002 - May 1, 2006

PARKLAND SECURITIES, LLC

BD
CRD#: 115368
CENTENNIAL, CO
Past

January 30, 1998 - February 9, 2002

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

December 16, 1993 - January 29, 1998

WORKMAN SECURITIES CORPORATION

BD
CRD#: 31898
EDEN PRAIRIE, MN
Past

October 6, 1993 - December 13, 1993

POLARIS FINANCIAL SERVICES, INC.

BD
CRD#: 14521
CONCORD, NH
Past

January 1, 1992 - October 15, 1993

GLOBAL FINANCIAL GROUP, INC.

BD
CRD#: 23958
MINNEAPOLIS, MN
Past

May 13, 1991 - January 10, 1992

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

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
RR
Series 63
Date: 8/29/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/28/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/10/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/10/1992
Investment Company Products/Variable Contracts Principal Examination

Current Firm

US
UNITED SECURITIES ALLIANCE, INC.
UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487 / SEC#: , 8-47282

BD
Terminated by SEC on 12/31/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 03/16/1994
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
US ALLIANCE HOLDINGS, INC.OWNER
BLOOMINGKEMPER, RONALD KEITHCHAIRMAN OF BOARD1087036
CANNELLA, JEFFREY JAMESPRESIDENT, CHIEF COMPLIANCE OFFICER, SROP/CROP2236889
DAVIS, DANA LORAINEINSURANCE PRINCIPAL, IA/CCO1715382
JONES, MICHAEL WASHINGTONEXECUTIVE VICE PRESIDENT / DIRECTOR3248874
PETRINOVICH, RONALD JAMESDIRECTOR1099207
SUTHERLAND, PATRICK EMANUELDIRECTOR/FINOP3042322

Disclosures

Regulatory Event4
Arbitration4

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.

Company Information

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

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