Norman T. Bradshaw
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Salisbury, NC 28146
Some features on this profile are disabled
CRD#: 3041529
Professional summary
Norman Trent Bradshaw, AIF®, CFP®, who also goes by N. Trent Bradshaw, Trent Bradshaw, Norman T Bradshaw, Norman Trent Bradshaw, is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Salisbury, North Carolina.
Norman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Norman has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
N. Trent Bradshaw | Trent Bradshaw | Norman T Bradshaw | Norman Trent Bradshaw
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.) TBBP, LLC - MEMBER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - SALISBURY, NC - SINCE 01/2014 - NOT INVESTMENT RELATED 2.) NT. BRADSHAW - INSURANCE AGENT - NON-VARIABLE INSURANCE - SALISBURY, NC - SINCE 04/2006 - INVESTMENT RELATED 3.) ROWAN CABARRUS YMCA - FINANCE COMMITTEE - COMMITTEE MEMBER - COMMUNITY, CIVIC OR CHARITABLE BOARD MEMBER OR OFFICER - SALISBURY, NC - SINCE 09/2022 - NOT INVESTMENT RELATED 4.) 89 STRATEGIC PLANNING, LLC - MEMBER - MANAGEMENT COMPANY FOR MY FINANCIAL SERVICES BUSINESS TO HANDLE EXPENSES ASSOCIATED WITH DAILY BUSINESS ACTIVITIES - SALISBURY, NC - SINCE 01/2023 - NOT INVESTMENT RELATED 5.) PREMIUM TAX STRATEGIES, LLC - CO-OWNER OF BUSINESS - TAX PREPARATION/ACCOUNTING/BOOKKEEPING/CPA - SALISBURY, NC - SINCE 01/2023 - INVESTMENT RELATED 6.) BRADSHAW ROGERS FINANCIAL PARTNERS, INC. - PRESIDENT/CO-OWNER - DBA NAME FOR MARKETING PURPOSES ONLY - SALISBURY, NC - SINCE 04/2023 - INVESTMENT RELATED 7.) 89 VENTURES, LLC - MEMBER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - CHINA GROVE, NC - SINCE 08/2023 - INVESTMENT RELATED 8.) BRADSHAW ROGERS FINANCIAL PARTNERS, INC. - OWNER, PRESIDENT - PAYS MY W2 SALARY - SALISBURY, NC - SINCE 04/2023 - NOT INVESTMENT RELATED 9.) BRENT H. PARKS, CPA P.A. - CO-OWNER - TAX PREPARATION/ACCOUNTING/BOOKKEEPING/CPA - SALISBURY, NC - SINCE 03/2024 - NOT INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Norman Trent Bradshaw's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Norman Trent Bradshaw'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®
CFP®
Start date: 2004
Experience
Current
November 6, 2019 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 1816 E. Innes Street Suite #102, Salisbury, NC 28146RIA
BD
CRD#: 20804
Salisbury, NC
Current
November 1, 2019 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 1816 E. Innes Street Suite #102, Salisbury, NC 28146RIA
BD
CRD#: 20804
Salisbury, NC
Past
February 3, 2015 - November 6, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
SALISBURG, NC
Past
February 3, 2015 - November 6, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
SALISBURY, NC
Past
April 24, 2006 - February 4, 2015
SPC
RIA
CRD#: 110692
SALISBURY, NC
Past
April 21, 2006 - February 4, 2015
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
SALISBURY, NC
Past
March 13, 2006 - March 23, 2006
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
SALISBURY, NC
Past
March 13, 2006 - March 23, 2006
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
SALISBURY, NC
Past
February 12, 2002 - February 28, 2005
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
RALEIGH, NC
Past
February 9, 2002 - February 13, 2002
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
ANN ARBOR, MI
Past
October 30, 2000 - February 9, 2002
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
April 21, 1998 - October 27, 2000
W.C. SMITH & COMPANY, INC.
BD
CRD#: 36865
GREENVILLE, SC
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".
UP
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
APEX RETIREMENT CONSULTING LLC | YEECORP FINANCIAL | WIRE TO WIRE WEALTH | WENDEL FINANCIAL GROUP | WEALTH AVENUE | VOYAGE PARTNERS FINANCIAL STRATEGIES, LLC | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA | UNITED PLANNERS FINANCIAL SERVICES | UNITED PLANNERS | TRIBUTE FINANCIAL INC. | STEWARDSHIP AMERICA FINANCIAL | SKYE FINANCIAL SERVICES, INC | SKS RETIREMENT SOLUTIONS | RIVERCREST FINANCIAL | RINGENBERG FINANCIAL GROUP | RETIREMENT & MONEY STRATEGIES | PALMER NUNN WEALTH MANAGEMENT | MUNKEBY KRAMER | MARION WEALTH MANAGEMENT GROUP | MABE FINANCIAL GROUP | LONG VIEW FINANCIAL SERVICES, INC. | LEE STOERZINGER, INC. | KILMER & COMPANY | INVESTMENT CENTER | HF CAPITAL GROUP LLC | HEMINGWAY WEALTH MANAGEMENT, LLC | GUIDANT PLANNING, INC | GOTTA RETIREMENT SERVICES, INC. | GER LOFTIN WEALTH ADVISORS, LLC | FULL CIRCLE FINANCIAL | FOOTHILL FINANCIAL GROUP | FIRESKY FINANCIAL INC. | FINANCIAL PLANNING ADVISORS, INC. | CATALYST FINANCIAL STRATEGIES LLC | CAPITAL LEGACY PARTNERS, LLC | BROOKHAVEN WEALTH MANAGEMENT INC. | BERAN FINANCIAL PARTNERS
CRD#: 20804 / SEC#: 801-57198, 8-38485
RIA
Registered Investment Advisory firm - SEC (1/28/2000 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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/1/2019)
RR
California(9/27/2023)
RR
District of Columbia(2/3/2023)
RR
Florida(11/1/2019)
RR
Georgia(11/1/2019)
RR
Idaho(11/1/2019)
RR
Illinois(11/1/2019)
RR
Indiana(11/21/2019)
RR
Missouri(1/4/2023)
RR
Nevada(12/5/2023)
RR
New Jersey(11/1/2019)
RR
New Mexico(1/13/2022)
RR
North Carolina(11/1/2019)
IAR
North Carolina(11/6/2019)
RR
Ohio(11/8/2024)
RR
Oklahoma(1/19/2022)
RR
Pennsylvania(11/1/2019)
RR
South Carolina(11/1/2019)
RR
Tennessee(11/1/2019)
RR
Virginia(11/1/2019)
RR
West Virginia(11/1/2019)
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
UP
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
APEX RETIREMENT CONSULTING LLC | YEECORP FINANCIAL | WIRE TO WIRE WEALTH | WENDEL FINANCIAL GROUP | WEALTH AVENUE | VOYAGE PARTNERS FINANCIAL STRATEGIES, LLC | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA | UNITED PLANNERS FINANCIAL SERVICES | UNITED PLANNERS | TRIBUTE FINANCIAL INC. | STEWARDSHIP AMERICA FINANCIAL | SKYE FINANCIAL SERVICES, INC | SKS RETIREMENT SOLUTIONS | RIVERCREST FINANCIAL | RINGENBERG FINANCIAL GROUP | RETIREMENT & MONEY STRATEGIES | PALMER NUNN WEALTH MANAGEMENT | MUNKEBY KRAMER | MARION WEALTH MANAGEMENT GROUP | MABE FINANCIAL GROUP | LONG VIEW FINANCIAL SERVICES, INC. | LEE STOERZINGER, INC. | KILMER & COMPANY | INVESTMENT CENTER | HF CAPITAL GROUP LLC | HEMINGWAY WEALTH MANAGEMENT, LLC | GUIDANT PLANNING, INC | GOTTA RETIREMENT SERVICES, INC. | GER LOFTIN WEALTH ADVISORS, LLC | FULL CIRCLE FINANCIAL | FOOTHILL FINANCIAL GROUP | FIRESKY FINANCIAL INC. | FINANCIAL PLANNING ADVISORS, INC. | CATALYST FINANCIAL STRATEGIES LLC | CAPITAL LEGACY PARTNERS, LLC | BROOKHAVEN WEALTH MANAGEMENT INC. | BERAN FINANCIAL PARTNERS
CRD#: 20804 / SEC#: 801-57198, 8-38485
RIA
Registered Investment Advisory firm - SEC (1/28/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
7333 E. Doubletree Ranch Road #120, Scottsdale, AZ 85258
Mailing Address
P.o. Box 5750, Scottsdale, AZ 85261-5750
Phone number
(480) 991-0225
Established
Arizona since 08/21/1987
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees
614
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED PLANNERS' GROUP, INC. | GENERAL PARTNER | |
| BAKER, MICHAEL A | PRESIDENT | 4037933 |
| BAKER, MICHAEL A | CHIEF EXECUTIVE OFFICE (CEO) | 4037933 |
| CUFFARI-AGASI, SHEILA JUNE | EXECUTIVE VICE PRESIDENT | 2401020 |
| HAUER, DAVE B | VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER | 4018434 |
| OLIVERIO, KENNETH WILLIAM JR | EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER | 2957427 |
| SHINDEL, CHAD TRAVIS | VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO) | 6232253 |
Regulatory assets under management
| Total Number of Accounts | 41,834 |
| AUM (Assets Under Management) | $ 10,637,349,683 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
