JB
Julie A. Bradt
CETERA FINANCIAL SPECIALISTS LLC
Hamburg, NY 14075
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CRD#: 3216322
JB
Professional summary
Julie Ann Bradt, CFP®, who also goes by Julie Bradt, is a registered financial professional currently at CETERA FINANCIAL SPECIALISTS LLC located in Hamburg, New York.
Julie is registered as a RR (Registered Representative) and started their career in finance in 1999. Julie has worked at 3 firms and has passed the Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Julie Bradt
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)HAMBURG ACCOUNTING & TAX SERVICE, INC., NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, PRESIDENT/OWNER; TAX AND ACCOUNTING SERVICES; CFP/ENROLLED AGENT; SINCE 01/1996 120 HRS/MO DURING TRADING HOURS 2)HOWARD J BRADT RENTAL PROPERTY, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, OWNER, PROPERTY RENTED TO ACCOUNTING & TAX BUSINESS, 40 HRS/MO; SINCE 11/1999
CRS (Client Relationship Summary) - BD
Click below to view Julie Ann Bradt'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: 2011
Experience
Current
February 10, 2021 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 5839 S Park Ave, Hamburg, NY 14075BD
CRD#: 10358
Hamburg, NY
Past
February 10, 2021 - November 23, 2022
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
HAMBURG TWP, NY
Past
August 14, 1999 - February 15, 2021
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
HAMBURG, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Florida(2/10/2021)
RR
Idaho(4/7/2023)
RR
Maryland(2/10/2021)
RR
New York(2/10/2021)
RR
North Carolina(2/18/2021)
RR
Oregon(2/10/2021)
RR
Pennsylvania(2/10/2021)
RR
Texas(5/16/2022)
RR
Virginia(2/10/2021)
RR
Washington(10/23/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 12/6/2007
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CETERA FINANCIAL SPECIALISTS LLC
CETERA FINANCIAL BROKERAGE SERVICES | TERRA SECURITIES CORPORATION | GENWORTH FINANCIAL SECURITIES CORPORATION | GENWORTH FINANCIAL BROKERAGE SERVICES | CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
Mailing Address
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
Phone number
(888) 528-2987
Established
Delaware since 10/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| KRUEGER, RONALD GEORGE | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2651416 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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Company Information
CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358Hamburg, NY 14075TRUST BUT VERIFY
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