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RB

Raymond W. Bradford

Some features on this profile are disabled
CRD#: 28211
RB

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.

Raymond William Bradford, who also goes by Ray W Bradford, Ray William Bradford, Raymond W Bradford, was a registered financial professional .

Raymond is a previously registered financial professional and started their career in finance in 1969. Raymond had worked at 9 firms and has passed the Series 00 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ray W Bradford | Ray William Bradford | Raymond W Bradford

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

December 16, 1994 - June 15, 1998

AMERICAN FUNDS & TRUSTS INCORPORATED

BD
CRD#: 1066
SALT LAKE CITY, UT
Past

July 21, 1994 - September 26, 1994

WESTMARK SECURITIES CORPORATION

BD
CRD#: 16709
SANTA MONICA, CA
Past

August 3, 1993 - July 5, 1994

R.K. STEELE

BD
CRD#: 1904
BEVERLY HILLS, CA
Past

September 9, 1988 - July 7, 1993

R. A. JOHNSON AND COMPANY, INC.

BD
CRD#: 10262
SALT LAKE CITY, UT
Past

June 22, 1983 - September 13, 1988

WARREN & BROWN ASSOCIATES, INC.

BD
CRD#: 13410
Past

February 6, 1981 - July 6, 1982

MAIN STREET SECURITIES, INC.

BD
CRD#: 8522
Past

August 25, 1980 - January 26, 1981

CONTINENTAL AMERICAN SECURITIES, INC.

BD
CRD#: 5185
Past

February 7, 1972 - July 23, 1980

EDWARD BROWN SECURITIES, INC.

BD
CRD#: 2583
Past

May 22, 1969 - June 21, 1972

BONNEVILLE SECURITIES INC

BD
CRD#: 1000008

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

Principal/Supervisory Exam
RR
Series 00
Date: 5/3/1969
General Securities Principal Examination

Current Firm

AF
AMERICAN FUNDS & TRUSTS INCORPORATED
AMERICAN FUNDS & TRUSTS INCORPORATED

CRD#: 1066 / SEC#: , 8-6939

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
3030 South Main Street Suite 100, Salt Lake City, UT 84115-3554
Mailing Address
3030 South Main Street Suite 100, Salt Lake City, UT 84115-3554
Phone number
(801) 466-8701
Established
Utah since 11/03/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TAGGART, RICHARD MILTONPRESIDENT, CFO441921
TAGGART, RICHARD PATRICKVICE PRESIDENT, CEO, COO, CCO2853896

Disclosures

Regulatory Event1

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

AMERICAN FUNDS & TRUSTS INCORPORATED

CRD#: 1066

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