Braden H. Ryan
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.
Braden Heath Ryan, who also goes by Braden H. Ryan, was a registered financial professional .
Braden is a previously registered financial professional and started their career in finance in 2011. Braden had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2016 - January 4, 2017
PACIFICA CAPITAL INVESTMENTS
November 12, 2013 - May 8, 2015
UBS FINANCIAL SERVICES INC.
November 8, 2013 - May 8, 2015
UBS FINANCIAL SERVICES INC.
April 9, 2013 - October 30, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 8, 2013 - October 30, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 23, 2011 - April 29, 2013
MORGAN STANLEY
October 31, 2011 - April 29, 2013
MORGAN STANLEY
Primary Firm SEC Registration
PACIFICA CAPITAL INVESTMENTS
CRD#: 125790 / SEC#: 801-62010
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PACIFICA CAPITAL INVESTMENTS
CRD#: 125790 / SEC#: 801-62010
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 259 |
| AUM (Assets Under Management) | $ 622,370,523 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 12/09/2024 | ||
| 12/11/2023 | ||
| 11/15/2022 |
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.
