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BD

Bret G. Dudl

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CRD#: 2804985
BD

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.

Bret Gregory Dudl was a registered financial professional .

Bret is a previously registered financial professional and started their career in finance in 1996. Bret had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

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

October 5, 2011 - October 7, 2013

WEALTHSPIRE RETIREMENT ADVISORY

RIA
CRD#: 121254
ALISO VIEJO, CA
Past

March 21, 2011 - October 6, 2011

FINANCIAL TELESIS INC

RIA
CRD#: 31012
ALISO VIEJO, CA
Past

March 21, 2011 - September 23, 2013

FINANCIAL TELESIS INC

BD
CRD#: 31012
ALISO VIEJO, CA
Past

January 5, 2007 - April 14, 2009

FINANCIAL TELESIS INC

RIA
CRD#: 31012
SAN DIEGO, CA
Past

January 5, 2007 - April 14, 2009

FINANCIAL TELESIS INC

BD
CRD#: 31012
SAN DIEGO, CA
Past

October 25, 2001 - March 29, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

August 17, 2000 - January 8, 2007

OSAIC FA, INC.

RIA
CRD#: 3978
LAJOLLA, CA
Past

June 22, 2000 - January 8, 2007

OSAIC FA, INC.

BD
CRD#: 3978
LAJOLLA, CA
Past

December 4, 1996 - June 20, 2000

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

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".
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.

CRD#: 121254 / SEC#: 801-66107

RIA
Registered Investment Advisory firm - (1/31/2006 Approved)
California
Registered Investment Advisory firm - (2/9/2006 Terminated)

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
IAR
Series 65
Date: 8/4/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/4/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/2/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/23/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.

CRD#: 121254 / SEC#: 801-66107

RIA
Registered Investment Advisory firm - (1/31/2006 Approved)
California
Registered Investment Advisory firm - (2/9/2006 Terminated)
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Contact information

Main Address
120 Vantis Suite 400, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 460-9898
Established
Firm type
Fiscal year end
# of Employees
240

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts9,394
AUM (Assets Under Management)$ 118,031,461,765

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

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254

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