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BW

Brad A. Weaver

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CRD#: 2505931
BW

Professional summary

Brad Allan Weaver was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Brad is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Brad had worked at 5 firms, which includes FIDUCIAL INVESTMENT ADVISORS INC., RAYMOND JAMES FINANCIAL SERVICES INC., ACUMENT SECURITIES INC., MESIROW FINANCIAL INC., GRUNTAL & CO. L.L.C..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

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

April 11, 2003 - January 26, 2004

FIDUCIAL INVESTMENT ADVISORS, INC.

BD
CRD#: 44792
COLUMBIA, MD
Past

June 8, 1999 - April 17, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

January 13, 1998 - May 21, 1999

ACUMENT SECURITIES, INC.

BD
CRD#: 7661
SAN FRANCISCO, CA
Past

October 22, 1996 - January 23, 1998

MESIROW FINANCIAL, INC.

BD
CRD#: 2764
CHICAGO, IL
Past

October 17, 1994 - October 29, 1996

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY

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: 10/3/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/22/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/20/1999
General Securities Principal Examination

Current Firm

FI
FIDUCIAL INVESTMENT ADVISORS, INC.
FIDUCIAL INVESTMENT ADVISORS, INC. | FRONTIER FINANCIAL CONSULTANTS, INC.

CRD#: 44792 / SEC#: , 8-50826

BD
Terminated by SEC on 05/29/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Indiana since 10/06/1995
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FIDUCIAL FINANCIAL SERVICES, INC.SOLE SHAREHOLDER
BEECH, KAREN ELIZABETHPRESIDENT/PRINCIPAL/CHIEF COMPLIANCE OFFICER3252712
HIPPERT, BRENT EUGENEFINOP1067611

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

FIDUCIAL INVESTMENT ADVISORS, INC.

CRD#: 44792

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