Bradford R. Orben

SNOWWATER INVESTMENT PARTNERS

Fairfield, CT

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CRD#: 2269125

Professional summary

Bradford Richard Orben is a registered financial advisor currently at SNOWWATER INVESTMENT PARTNERS, LLC located in Fairfield, Connecticut and MARCH CAPITAL CORP. located in Skokie, Illinois.

Bradford is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Bradford has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 24, Series 8 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Bradford Orben is dually-registered as an Investment Advisor Representative with Snowwater Investment Partners, LLC ("Snowwater"- since 01/2021) and as a Registered Representative with March Capital Corp. ("March - since 02/2021). Business is conducted from 411 Catamount Road, Fairfield, CT 06824. Approximately 90% of Mr. Orben's time is for services as an Investment Advisor Representative of Snowwater and the balance as a Registered Representative or March. Snowwater and are not affiliated.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradford Richard Orben's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 19, 2021 - Present

SNOWWATER INVESTMENT PARTNERS, LLC

RIA

CRD#: 311790

Fairfield, CT

Current

February 4, 2021 - Present

MARCH CAPITAL CORP.

RIA

CRD#: 24142

Skokie, IL

Past

January 3, 2017 - March 28, 2019

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

June 12, 2013 - April 27, 2015

CLARK DODGE & CO., INC.

CRD#: 23288

WHITE PLAINS, NY

Past

January 20, 2010 - August 3, 2011

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

January 11, 2008 - February 8, 2008

BNY CAPITAL MARKETS INC.

CRD#: 18303

NEW YORK, NY

Past

January 10, 2006 - November 1, 2007

BNY INVESTMENT CENTER INC.

RIA

CRD#: 47683

NEW YORK, NY

Past

November 12, 2004 - January 2, 2008

BNY INVESTMENT CENTER INC.

CRD#: 47683

NEW YORK, NY

Past

August 24, 2004 - November 12, 2004

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

NEW YORK, NY

Past

October 7, 1997 - November 12, 2004

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

December 4, 1992 - September 4, 1997

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SNOWWATER INVESTMENT PARTNERS, LLC

CRD#: 311790 / SEC#: 801-120047

RIA

Registered Investment Advisory firm - (1/4/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Connecticut
(1/19/2021)

New York
(2/4/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/19/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/16/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/1/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 3/8/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 4/28/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 10/2/1996

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

SNOWWATER INVESTMENT PARTNERS, LLC

CRD#: 311790 / SEC#: 801-120047

RIA

Registered Investment Advisory firm - (1/4/2021 Approved)

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Contact information

Main Address

Fairfield, CT

Mailing Address

Phone number

(203) 997-6670

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SNOWWATER DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (3/21/2025)

Regulatory assets under management

Total Number of Accounts	129
AUM (Assets Under Management)	$ 795,000,000

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.

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Firm Stability Insights

Bradford R. Orben

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradford Richard Orben's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARCH CAPITAL CORP.

QUEST CAPITAL STRATEGIES, INC.

CLARK DODGE & CO., INC.

QUEST CAPITAL STRATEGIES, INC.

BNY CAPITAL MARKETS INC.

BNY INVESTMENT CENTER INC.

BNY INVESTMENT CENTER INC.

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

QUICK & REILLY, INC.

Primary Firm SEC Registration

SNOWWATER INVESTMENT PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/19/2004

Series 63

Date: 12/16/1992

SIE

Date: 10/1/2018

Series 7

Date: 12/1/1992

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 24

Date: 3/8/2001

Series 8

Date: 4/28/1997

Series 4

Date: 10/2/1996

FINRA

Current Firm

SNOWWATER INVESTMENT PARTNERS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SNOWWATER INVESTMENT PARTNERS, LLC

TRUST BUT VERIFY

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