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Christopher Thomas Brady

CFP®
OSAIC WEALTH
DORAL, FL
·CRD# 2854004·29 years experience

Professional Summary

Christopher Thomas Brady, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Doral, Florida. Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Christopher has worked at 10 firms and has passed the Series 66, Series 79TO, SIE, Series 7, Series 9 and Series 10 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

CFP®
Certified Financial PlannerSince 2001

Years of Experience

29 years in the financial services industry

Current & Past Employments

OSAIC WEALTH, INC.·CRD# 23131
RIA
BD
7791 Nw 46th Street Suite 113, Doral, FL 33166
June 14, 2024 - Present
OSAIC WEALTH, INC.·CRD# 23131
RIA
BD
7791 Nw 46th Street Suite 113, Doral, FL 33166
June 14, 2024 - Present
SECURITIES AMERICA ADVISORS, INC.·CRD# 110518
RIA
Doral, FL
July 17, 2020 - June 14, 2024
SECURITIES AMERICA, INC.·CRD# 10205
BD
Doral, FL
July 17, 2020 - June 14, 2024
INVESTACORP ADVISORY SERVICES INC·CRD# 109011
RIA
Doral, FL
April 23, 2003 - July 17, 2020
INVESTACORP ADVISORY SERVICES INC·CRD# 109011
RIA
Miami, FL
May 24, 2002 - November 1, 2002
INVESTACORP, INC.·CRD# 7684
BD
Doral, FL
April 25, 2002 - July 17, 2020
RAYMOND JAMES & ASSOCIATES, INC.·CRD# 705
BD
St. Petersburg, FL
July 18, 2001 - April 26, 2002
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
September 28, 2000 - July 24, 2001
PRUCO SECURITIES, LLC.·CRD# 5685
BD
Newark, NJ
July 2, 1998 - November 7, 2000
IDS LIFE INSURANCE COMPANY·CRD# 6321
BD
Minneapolis, MN
February 28, 1997 - June 19, 1998
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Minneapolis, MN
February 28, 1997 - June 19, 1998

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Current Firm

OW
OSAIC WEALTH, INC.

1752 FINANCIAL SOLUTIONS | ARMSTRONG & ASSOCIATES | ARLEN FINANCIAL | ARKTOS WEALTH MANAGEMENT | ARK WEALTH MANAGEMENT | ARISE WEALTH STRATEGIES | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARBOR GROUP ADVISORS | ARBEITER & BADIUK | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | AQUIDNECK WEALTH MANAGEMENT, LLC | APRIL WILSON FINANCIAL | APPEL INSURANCE ADVISORS, LLC | APPALACHIAN WEALTH MANAGEMENT | ANTHONY GIULIANO | ANN M. MOROCCO | ANGELA MILLER FINANCIAL & INSURANCE SERVICES | ANGELA MARTIN FINANCIAL | ANDSTEAD ADVISORS | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON-HANSEN TEAM | ANDERSON WEALTH PLANNING | ANDERSON WEALTH MANAGEMENT | ANDERSON WEALTH ADVISORS, LLC | ANDERSON FINANCIAL SERVICES | ANCHOR WEALTH MANAGEMENT INC. | AMP CONSULTING GROUP | AMON & ASSOCIATES | AMES FINANCIAL & RETIREMENT SOLUTIONS | AMERIWEALTH RETIREMENT SERVICES | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN SECURITIES | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMERICAN ADVISORS | AMANDA M. BONOMI, E.A., CFP | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPINE PLANNING GROUP | ALPHA OMEGA WEALTH PARTNERS | ALLLISON WEALTH MANAGEMENT | ALLISON WEALTH MANAGEMENT | ALLIED WEALTH MANAGEMENT LLC | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANT FINANCIAL SOLUTINOS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE FINANCIAL SERVICES | ALLEN WEALTH STRATEGIES | ALLEN WEALTH STRATEGEIS | ALLEGIANT INVESTMENTS AND INSURANCE | ALLEGIANCE FINANCIAL PARTNERS | ALLEGIANCE FINANCIAL ADVISORS, INC. | ALLAIRE FINANCIAL STRATEGIES | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | ALL IN FINANCIAL | ALL AMERICAN WEALTH | ALEXANDER FINANCIAL SERVICES | ALABAMA RURAL ELECTRIC WEALTH ADVISORY | AINLEY FINANCIAL GROUP | AIHARA & COMPANY, APC | AIELLO WEALTH MANAGEMENT | AGRIFAMILY FINANCIAL SOLUTIONS | AGRIBUSINESS SUCCESSION ADVISORS, LLC | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AGARWOOD WEALTH | AFR FINANCIAL GROUP | AFFILIATED ADVISORS | AFC PLANNING GROUP | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVISOR SERVICE GROUP LLC WEALTH MANAGEMENT | ADVENT FINANCIAL SERVICES | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCED FINANCIAL CONSULTANTS | ADVANCED CAPITAL STRATEGIES | ADVANCED BUSINESS PARTNERS CASCADE | ADVANCE FINANCIAL GROUP | ADV | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ADAPTATION FINANCIAL ADVISORS | ACTUARIAL WEALTH MANAGEMENT | ACT FINANCIAL SERVICES, INC | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORN TAX AND WEALTH ADVISORS | ACORN FINANCIAL SERVICES INC | ACORN CONSULTING SERVICES INC | ACORD & FONG WEALTH STRATEGIES | ACERRA & ASSOCIATES | ACADEMY FINANCIAL, INC | ACACIA WEALTH MANAGEMENT | ABSOLUTE FINANCIAL PLANNING | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A2Z WEALTH MANAGEMENT | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. RANDALL FINANCIAL | A. KRANITZ ASSOCIATES | A. GRAY FINANCIAL | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A&M FINANCIAL SERVICES | A&M FINANCIAL | A LIFE WELL SPENT | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 401KCONCEPTS | 3RD COAST FINANCIAL | 3G FINANCIAL | 30,000 FT. WEALTH MANAGEMENT | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 21ST CENTURY FINANCIAL SERVICES | 20/20 WEALTH MANAGEMENT GROUP | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT IMPRESSIA BANK | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BANK | 1865 WEALTH ADVISORS AT BANK ON BUFFALO | 1752 FINANCIAL SOLUTIONS, LLC...

CRD#: 23131 / SEC#: 801-54859, 8-40218
RIA
Registered Investment Advisory firm - SEC (9/10/1997 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)

Contact Information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone Number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Large

# of Employees

8,979

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

SIGNATOR MANAGED ACCOUNT PLATFORM (8/28/2026)
OSAIC WEALTH, INC ADV PART 2A (8/28/2026)

Direct owners and executive officers

NamePositionCRD#
OSAIC, INC.SHAREHOLDER—
FORD, ERINN JUNEDIRECTOR2176816
MIHAL, SHAWN MICHAELSVP, CHIEF COMPLIANCE OFFICER3262384
MITCHELL, CHRISTOPHER MILLSCORPORATE TREASURER, FINANCIAL PRINCIPAL2420144
PRICE, JAMES DALECHAIRMAN1243224
REID, SHANNONCEO, PRESIDENT, DIRECTOR4815189
SCHLUETER, MATTHEW ADAMEVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR2627931

Regulatory Assets Under Management

Total Number of Accounts

850,797

AUM (Assets Under Management)

$234,858,518,740

Disclosures

Regulatory Event

51

Arbitration

31

Bond

7

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
11/14/2025Cover PageReport
12/18/2024Cover PageReport
01/26/2024Cover PageReport

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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. BRADY FINANCIAL, INC., INVESTMENT RELATED, CONDUCTED FROM 7791 NW 46TH STREET, SUITE 113, DORAL, FL 33166. THE NATURE OF THE OUTSIDE BUSINESS ACTIVITY (OBA) IS DBA/FIXED INSURANCE SALES, MY POSITION IN THE ORGANIZATION IS PRESIDENT. 2002 WAS THE START OF THE RELATIONSHIP WITH THE OTHER BUSINESS AND 148 HOURS ARE DEVOTED TO THE OTHER BUSINESS PER WEEK AND 7 OF HOURS ARE DEVOTED TO THE OTHER BUSINESS DURING SECURITIES TRADING HOURS PER MONTH. 2. ADVISORY SERVICES POSITION: Advisor NATURE: Advisory Business under Securities America Advisory Program using Securities America RIA. INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 80 START DATE: 07/17/2020 ADDRESS: 7791 NW 46th St, Suite 113, Doral FL 33166 DESCRIPTION: Advisory Services 3. BRADY FINANCIAL INC. POSITION: President NATURE: Offer securities either through commission sales or through Advisory Accounts. Also offer variable annuities, alternative investments, and fixed insurance including: life, disability, long-term care and annuity products. The fixed insurance portion accounts for approximately 4 hours per month of my time. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 07/17/2020 ADDRESS: 7791 NW 46th St, Suite 113, Doral FL 33166 DESCRIPTION: Offer securities either through commission sales or through Advisory Accounts. I also offer variable annuities, alternative investments, and fixed insurance including: life, disability, long-term care and annuity products. 4. OUR LADY OF GUADALUPE CATHOLIC CHURCH POSITION: Eucharistic Minister NATURE: Eucharistic Minister for Our Lady of Guadalupe Catholic Church INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 07/17/2020 ADDRESS: 11691 NW 25th St, Doral FL 33172 DESCRIPTION: Assist the priest at Catholic Mass to distribute communion to the parishioners. 5. OLG TEAM POSITION: Leader- Trainer NATURE: Volunteer- Coordinating a run group with my church (Our Lady of Guadalupe) to train for 1/2 marathon in Miami, FL INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 10/03/2020 ADDRESS: 11691 NW 25th St, Doral FL 33172 DESCRIPTION: Assist in helping coordinate the group to train for 16 weeks in preparation for the 1/2 marathon. 6. OUR LADY OF GUADALUPE CATHOLIC CHURCH POSITION: Volunteer NATURE: I'm a member of the Finance Committee for Our Lady of Guadalupe Catholic Church in Doral, FL. My role is to give counsel on financial matters related to the church, such as budgeting. There is not any financial advice related to investments. There is not relation with Brady Financial. I will not have any custody or control of any funds. I will not have access to accounts, checks or check writing. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2015 ADDRESS: 11691 NW 25th St, Doral FL 33172 DESCRIPTION: I'm a member of the Finance Committee for Our Lady of Guadalupe Catholic Church in Doral, FL. My role is to give counsel on financial matters related to the church, such as budgeting. 7. FULLY ENGAGED COUPLE VOLUNTEER POSITION: Volunteer NATURE: Through Our Lady Of Guadalupe Church, help with the pre- marriage ministry called Fully Engaged. Meet with a couple that is planning on getting married through the Catholic Church for 2 meetings of 2 hours each to discuss issues that affect marriage and help the couple prepare for marriage. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2019 ADDRESS: 11691 NW 25th St, Doral FL 33172 DESCRIPTION: Through Our Lady Of Guadalupe Church, help with the pre- marriage ministry called Fully Engaged. 8. 113 PALEMTTO PARK LLC POSITION: Manager NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/20/2020 ADDRESS: 7791 NW 46TH ST, STE 113, Miami-Dade County Public Schools, Miami FL 33166, DESCRIPTION: This is an LLC for the Real Estate I own for my office.

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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".
OW
OSAIC WEALTH, INC.

1752 FINANCIAL SOLUTIONS | ARMSTRONG & ASSOCIATES | ARLEN FINANCIAL | ARKTOS WEALTH MANAGEMENT | ARK WEALTH MANAGEMENT | ARISE WEALTH STRATEGIES | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARBOR GROUP ADVISORS | ARBEITER & BADIUK | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | AQUIDNECK WEALTH MANAGEMENT, LLC | APRIL WILSON FINANCIAL | APPEL INSURANCE ADVISORS, LLC | APPALACHIAN WEALTH MANAGEMENT | ANTHONY GIULIANO | ANN M. MOROCCO | ANGELA MILLER FINANCIAL & INSURANCE SERVICES | ANGELA MARTIN FINANCIAL | ANDSTEAD ADVISORS | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON-HANSEN TEAM | ANDERSON WEALTH PLANNING | ANDERSON WEALTH MANAGEMENT | ANDERSON WEALTH ADVISORS, LLC | ANDERSON FINANCIAL SERVICES | ANCHOR WEALTH MANAGEMENT INC. | AMP CONSULTING GROUP | AMON & ASSOCIATES | AMES FINANCIAL & RETIREMENT SOLUTIONS | AMERIWEALTH RETIREMENT SERVICES | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN SECURITIES | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMERICAN ADVISORS | AMANDA M. BONOMI, E.A., CFP | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPINE PLANNING GROUP | ALPHA OMEGA WEALTH PARTNERS | ALLLISON WEALTH MANAGEMENT | ALLISON WEALTH MANAGEMENT | ALLIED WEALTH MANAGEMENT LLC | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANT FINANCIAL SOLUTINOS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE FINANCIAL SERVICES | ALLEN WEALTH STRATEGIES | ALLEN WEALTH STRATEGEIS | ALLEGIANT INVESTMENTS AND INSURANCE | ALLEGIANCE FINANCIAL PARTNERS | ALLEGIANCE FINANCIAL ADVISORS, INC. | ALLAIRE FINANCIAL STRATEGIES | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | ALL IN FINANCIAL | ALL AMERICAN WEALTH | ALEXANDER FINANCIAL SERVICES | ALABAMA RURAL ELECTRIC WEALTH ADVISORY | AINLEY FINANCIAL GROUP | AIHARA & COMPANY, APC | AIELLO WEALTH MANAGEMENT | AGRIFAMILY FINANCIAL SOLUTIONS | AGRIBUSINESS SUCCESSION ADVISORS, LLC | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AGARWOOD WEALTH | AFR FINANCIAL GROUP | AFFILIATED ADVISORS | AFC PLANNING GROUP | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVISOR SERVICE GROUP LLC WEALTH MANAGEMENT | ADVENT FINANCIAL SERVICES | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCED FINANCIAL CONSULTANTS | ADVANCED CAPITAL STRATEGIES | ADVANCED BUSINESS PARTNERS CASCADE | ADVANCE FINANCIAL GROUP | ADV | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ADAPTATION FINANCIAL ADVISORS | ACTUARIAL WEALTH MANAGEMENT | ACT FINANCIAL SERVICES, INC | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORN TAX AND WEALTH ADVISORS | ACORN FINANCIAL SERVICES INC | ACORN CONSULTING SERVICES INC | ACORD & FONG WEALTH STRATEGIES | ACERRA & ASSOCIATES | ACADEMY FINANCIAL, INC | ACACIA WEALTH MANAGEMENT | ABSOLUTE FINANCIAL PLANNING | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A2Z WEALTH MANAGEMENT | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. RANDALL FINANCIAL | A. KRANITZ ASSOCIATES | A. GRAY FINANCIAL | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A&M FINANCIAL SERVICES | A&M FINANCIAL | A LIFE WELL SPENT | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 401KCONCEPTS | 3RD COAST FINANCIAL | 3G FINANCIAL | 30,000 FT. WEALTH MANAGEMENT | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 21ST CENTURY FINANCIAL SERVICES | 20/20 WEALTH MANAGEMENT GROUP | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT IMPRESSIA BANK | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BANK | 1865 WEALTH ADVISORS AT BANK ON BUFFALO | 1752 FINANCIAL SOLUTIONS, LLC...

CRD#: 23131 / SEC#: 801-54859, 8-40218
RIA
Registered Investment Advisory firm - SEC (9/10/1997 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(6/14/2024)
RR
Alaska
(4/8/2026)
RR
Arizona
(6/14/2024)
RR
Arkansas
(6/10/2026)
RR
California
(6/14/2024)
RR
Colorado
(6/14/2024)
RR
Connecticut
(6/14/2024)
RR
Delaware
(1/20/2026)
RR
District of Columbia
(6/14/2024)
RR
Florida
(6/14/2024)
IAR
Florida
(6/14/2024)
RR
Georgia
(6/14/2024)
RR
Hawaii
(6/14/2024)
RR
Louisiana
(6/14/2024)
RR
Maine
(6/14/2024)
RR
Maryland
(6/14/2024)
IAR
Maryland
(6/14/2024)
RR
Massachusetts
(6/14/2024)
RR
Minnesota
(6/14/2024)
RR
Missouri
(6/14/2024)
RR
Nevada
(6/14/2024)
RR
New Jersey
(6/14/2024)
IAR
New Jersey
(6/14/2024)
RR
New York
(6/14/2024)
RR
North Carolina
(6/14/2024)
IAR
North Carolina
(6/14/2024)
RR
Ohio
(6/14/2024)
RR
Oklahoma
(6/14/2024)
RR
Pennsylvania
(6/14/2024)
RR
Rhode Island
(6/14/2024)
IAR
Rhode Island
(6/14/2024)
RR
South Carolina
(6/14/2024)
RR
Tennessee
(6/27/2025)
RR
Texas
(6/14/2024)
IAR
Texas
(6/14/2024)
RR
Vermont
(6/14/2024)
RR
Virginia
(6/14/2024)
RR
Washington
(6/14/2024)
RR
Wisconsin
(6/14/2024)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 1998About the Series 66 exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Feb 1997About the Series 7 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Nov 2000About the Series 9 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Oct 2000About the Series 10 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Christopher Thomas Brady's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Christopher Thomas Brady's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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