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Bradley W. Small
ONEASCENT FINANCIAL SERVICES LLC
Beverly, MA 01915
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CRD#: 2749932
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Professional summary
Bradley Wayne Small, who also goes by Bradley W Small, Brad W Small, Brad Small, is a registered financial advisor currently at ONEASCENT FINANCIAL SERVICES LLC located in Beverly, Massachusetts and PURSHE KAPLAN STERLING INVESTMENTS located in Beverly, Massachusetts.
Bradley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Bradley has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bradley W Small | Brad W Small | Brad Small
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. One Ascent Financial Services dba Solomon Private Wealth. Investment Related. At Registered Location. RIA. IAR. Start Date: 11/30/2024. 160 hrs/ month; all during trading hours. Provide Advice to clients 2. Fixed Insurance. Investment Related. At Registered Location. Fixed/ Traditional Insurance. Agent. Start Date: 8/30/2022. 5 hrs/ month; all during trading hours. Sell Fixed Insurance products through multiple carriers 3. North Shore chamber of Commerce; Not investment related; 5 Cherry Hill Dr., Danvers, MA 01923; non-profit Chamber of Commerce; volunteer Board member; 01/01/2015 7. 2-3 hrs/mo 8, 0 hrs during trading; Volunteer board; no compensation 4. Solomon Fund; Not investment related; See office of employment address; non-profit - charity car shows; Founder; 01/01/2022; 2-3 hrs/mo 8, 0 hrs during trading; Organize charity car show with my son; No compensation - volunteer - all funds go to charity after expenses 5. Amirah Inc. Start date 12/1/2024. Not investment related. Volunteer position on volunteer board in July 2024. 6. Fisher Fuel and Society. Not investment related. Volunteer position on the organization board beginning November 2024. 7. Smith Companies. Investment related. Insurance Agent -- $1,000.
CRS (Client Relationship Summary) - RIA
Click below to view Bradley Wayne Small's 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®
NoneExperience
Current
December 3, 2024 - Present
ONEASCENT FINANCIAL SERVICES LLC
Office #1: 100 Cummings Center Suite 537-h, Beverly, MA 01915RIA
CRD#: 284549
Beverly, MA
Current
August 29, 2022 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 100 Cummings Center Suite 207-p Office 234, Beverly, MA 01915BD
CRD#: 35747
Beverly, MA
Past
September 13, 2022 - December 31, 2024
THRIVENT ADVISOR NETWORK, LLC
RIA
CRD#: 304569
Beverly, MA
Past
July 9, 2020 - September 8, 2022
PINNACLE PRIVATE WEALTH, LLC
RIA
CRD#: 170315
BURLINGTON, MA
Past
June 30, 2020 - August 31, 2022
TRIAD ADVISORS LLC
BD
CRD#: 25803
Andover, MA
Past
January 5, 2016 - July 6, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BOSTON, MA
Past
June 23, 2014 - December 31, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BOSTON, MA
Past
February 20, 2009 - July 6, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BOSTON, MA
Past
October 22, 2001 - March 13, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
DANVERS, MA
Past
August 29, 1996 - October 26, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
OF
ONEASCENT FINANCIAL SERVICES LLC
2:24 WEALTH GROUP | ZAHORANSKI WEALTH MANAGEMENT | WEALTH STEWARDS | THE CORNERSTONE FINANCIAL GROUP | TEVEBAUGH & ASSOCIATES | TATE FINANCIAL PARTNERS | STRATEGENCE CAPITAL | STONEBRIDGE WEALTH MANAGEMENT | SOVEREIGN PRIVATE WEALTH | SOVEREIGN FAMILY OFFICE | SOLOMON PRIVATE WEALTH | RIVER OAK FINANCIAL | RESOLUTE CAPITAL GROUP | PWJOHNSON WEALTH MANAGEMENT | PURE CAPITAL SPORTS | PURE CAPITAL ADVISORS | PROVIDENT OAK FINANCIAL | PROVIDENCE FINANCIAL ADVISORS | PEARSON & ASSOCIATES | ONEASCENT FINANCIAL SERVICES LLC | LONE OAK FINANCIAL SERVICES | LIFE&WEALTH ADVISORS | LEGATUM GROUP | JB STARK FINANCIAL LLC | HARDT FINANCIAL GROUP | HAMPTON SQUARE WEALTH MANAGEMENT | FRANKLIN WEALTH MANAGEMENT | FLIGHT FINANCIAL ADVISORS | FINANCIAL STRATEGIES GROUP | ENOUGH WEALTH | ANTHEM ADVISORS | AFFILIATED FINANCIAL PLANNERS | ADVENTURE FINANCIAL
CRD#: 284549 / SEC#: 801-108265
RIA
Registered Investment Advisory firm - (8/24/2016 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.RR
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
RR
Connecticut(8/29/2022)
RR
Florida(8/29/2022)
RR
Massachusetts(8/30/2022)
IAR
Massachusetts(12/3/2024)
RR
New Hampshire(8/29/2022)
RR
Tennessee(10/23/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OF
ONEASCENT FINANCIAL SERVICES LLC
2:24 WEALTH GROUP | ZAHORANSKI WEALTH MANAGEMENT | WEALTH STEWARDS | THE CORNERSTONE FINANCIAL GROUP | TEVEBAUGH & ASSOCIATES | TATE FINANCIAL PARTNERS | STRATEGENCE CAPITAL | STONEBRIDGE WEALTH MANAGEMENT | SOVEREIGN PRIVATE WEALTH | SOVEREIGN FAMILY OFFICE | SOLOMON PRIVATE WEALTH | RIVER OAK FINANCIAL | RESOLUTE CAPITAL GROUP | PWJOHNSON WEALTH MANAGEMENT | PURE CAPITAL SPORTS | PURE CAPITAL ADVISORS | PROVIDENT OAK FINANCIAL | PROVIDENCE FINANCIAL ADVISORS | PEARSON & ASSOCIATES | ONEASCENT FINANCIAL SERVICES LLC | LONE OAK FINANCIAL SERVICES | LIFE&WEALTH ADVISORS | LEGATUM GROUP | JB STARK FINANCIAL LLC | HARDT FINANCIAL GROUP | HAMPTON SQUARE WEALTH MANAGEMENT | FRANKLIN WEALTH MANAGEMENT | FLIGHT FINANCIAL ADVISORS | FINANCIAL STRATEGIES GROUP | ENOUGH WEALTH | ANTHEM ADVISORS | AFFILIATED FINANCIAL PLANNERS | ADVENTURE FINANCIAL
CRD#: 284549 / SEC#: 801-108265
RIA
Registered Investment Advisory firm - (8/24/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
23 Inverness Parkway, Birmingham, AL 35242
Mailing Address
Phone number
(205) 313-9142
Established
Firm type
Fiscal year end
# of Employees
125
SEC notice filing (43 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,150 |
| AUM (Assets Under Management) | $ 2,610,953,335 |
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
ONEASCENT FINANCIAL SERVICES LLC
CRD#: 284549Beverly, MA 01915TRUST BUT VERIFY
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