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BS

Brad R. Stark

AW SECURITIES
Indianapolis, IN 46240
Some features on this profile are disabled
CRD#: 4094102
BS

Professional summary

Brad Richard Stark, who also goes by Bradley Richard Stark, is a registered financial professional currently at AW SECURITIES located in Indianapolis, Indiana.

Brad is registered as a RR (Registered Representative) and started their career in finance in 2000. Brad has worked at 5 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bradley Richard Stark

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brad Richard Stark's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 3, 2025 - Present

AW SECURITIES

Office #1: 8801 River Crossing Blvd. Suite 100, Indianapolis, IN 46240
BD
CRD#: 103747
Indianapolis, IN
Past

May 16, 2018 - May 2, 2019

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Indianapolis, IN
Past

October 5, 2006 - December 18, 2008

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
FISHERS (INDIANAPOLIS), IN
Past

September 19, 2006 - December 18, 2008

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
FISHERS (INDIANAPOLIS), IN
Past

February 4, 2002 - April 29, 2005

SUNAMERICA SECURITIES, INC.

RIA
CRD#: 20068
PHOENIX, AZ
Past

January 18, 2002 - December 31, 2004

SPELMAN & CO., INC.

BD
CRD#: 10232
PHOENIX, AZ
Past

January 18, 2002 - December 31, 2004

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ
Past

January 24, 2001 - April 29, 2005

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

June 12, 2000 - September 26, 2000

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

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
Indiana
(11/14/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/7/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/5/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/2/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/2018
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/23/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
AW SECURITIES
AW SECURITIES | PATHWAY RETIREMENT NETWORK | HANSON MCCLAIN SECURITIES | HANSON MCCLAIN RETIREMENT NETWORK, LP | HANSON MCCLAIN RETIREMENT NETWORK, LLC | HANSON MCCLAIN RETIREMENT NETWORK, L.P. | HANSON MCCLAIN

CRD#: 103747 / SEC#: 801-69038, 8-52250

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630
Mailing Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630
Phone number
(916) 482-2196
Established
Delaware since 10/26/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
10

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV PART 2 (1/17/2025)

Direct owners and executive officers

NamePositionCRD#
ALLWORTH FINANCIAL GROUP, L.P.GENERAL PARTNER
BEATON, DANIEL STEWARTFINOP4240769
FRIZE, BERNARD JOSEPH JRCHIEF COMPLIANCE OFFICER - BD2366022
GAMBLE, COREY CCHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO4919573
GREENBERG, BARRY YALECHIEF LEGAL COUNSEL5863733
GRIGSBY, GARY LAWSONCEO3167632
TAYLOR, KRISTIAN LEIGHVICE PRESIDENT- OPERATIONS4163800

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.

Company Information

AW SECURITIES

CRD#: 103747Indianapolis, IN 46240

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