Brad R. Stark
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.
Brad Richard Stark, who also goes by Bradley Richard Stark, was a registered financial professional .
Brad is a previously registered financial professional and started their career in finance in 2000. Brad had worked at 5 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2025 - February 4, 2026
AW SECURITIES
May 16, 2018 - May 2, 2019
CHARLES SCHWAB & CO., INC.
October 5, 2006 - December 18, 2008
CHARLES SCHWAB & CO., INC.
September 19, 2006 - December 18, 2008
CHARLES SCHWAB & CO., INC.
February 4, 2002 - April 29, 2005
SUNAMERICA SECURITIES, INC.
January 18, 2002 - December 31, 2004
SPELMAN & CO., INC.
January 18, 2002 - December 31, 2004
SENTRA SECURITIES CORPORATION
January 24, 2001 - April 29, 2005
SUNAMERICA SECURITIES, INC.
June 12, 2000 - September 26, 2000
CHARLES SCHWAB & CO., INC.
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
Series 7TO
Date: 10/2/2025
General Securities Representative ExaminationCurrent Firm
AW SECURITIES
CRD#: 103747 / SEC#: 801-69038, 8-52250
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLWORTH FINANCIAL GROUP, L.P. | GENERAL PARTNER | |
| BEATON, DANIEL STEWART | FINOP | 4240769 |
| ERICKSON, RICHARD JOHN | DIRECTOR OF INVESTMENT OPERATIONS | 2704674 |
| FRIZE, BERNARD JOSEPH JR | CHIEF COMPLIANCE OFFICER - BD | 2366022 |
| GAMBLE, COREY C | CHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO | 4919573 |
| GREENBERG, BARRY YALE | CHIEF LEGAL COUNSEL | 5863733 |
| GRIGSBY, GARY LAWSON | CEO | 3167632 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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