Stuart C. Brazie
Professional summary
Stuart Charles Brazie, CFP®, who also goes by Stuart C Brazie, is a registered financial advisor currently at WESTMINSTER FINANCIAL ADVISORY CORP located in Beavercreek, Ohio and WESTMINSTER FINANCIAL SECURITIES, INC. located in Beavercreek, Ohio.
Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Stuart has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 4, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Charles Brazie's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2002
Experience
January 3, 2017 - Present
WESTMINSTER FINANCIAL ADVISORY CORP
Office #1: 50 Chestnut Street Suite A-400, Beavercreek, OH 45440November 2, 2016 - Present
WESTMINSTER FINANCIAL SECURITIES, INC.
Office #1: 50 Chestnut Street Suite A-200, Beavercreek, OH 45440August 30, 2010 - December 31, 2014
KMS FINANCIAL SERVICES, INC.
July 30, 2010 - November 1, 2016
KMS FINANCIAL SERVICES, INC.
August 29, 2006 - December 31, 2016
WHITEHALL FINANCIAL SERVICES, INC.
August 23, 2006 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
February 18, 2005 - August 19, 2005
WESTMINSTER FINANCIAL SECURITIES, INC.
December 16, 2002 - October 1, 2004
QUICK & REILLY, INC.
May 1, 2001 - October 1, 2004
QUICK & REILLY, INC.
March 11, 1992 - April 26, 2001
WESTMINSTER FINANCIAL SECURITIES, INC.
Primary Firm SEC Registration
WESTMINSTER FINANCIAL ADVISORY CORP
CRD#: 110283 / SEC#: 801-29690
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/2/2018)
(10/3/2018)
(4/5/2017)
(8/20/2019)
(1/7/2025)
(1/8/2025)
(7/27/2020)
(7/27/2020)
(11/2/2016)
(1/9/2017)
(11/2/2016)
(12/1/2016)
(11/2/2016)
(7/10/2017)
(11/2/2016)
(1/3/2017)
(12/9/2020)
(12/9/2020)
(5/22/2017)
(5/23/2017)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
WESTMINSTER FINANCIAL ADVISORY CORP
CRD#: 110283 / SEC#: 801-29690
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,255 |
| AUM (Assets Under Management) | $ 1,224,901,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2024 | ||
| 02/26/2024 | ||
| 12/09/2022 |
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
WESTMINSTER FINANCIAL ADVISORY CORP
CRD#: 110283Beavercreek, OH 45440TRUST BUT VERIFY
Monitor Stuart Brazie
Get automatic monthly alerts on:
