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SS

Steven H. Scruggs

BRAGG FINANCIAL ADVISORS
Charlotte, NC 28203
Some features on this profile are disabled
CRD#: 4127278
SS

Professional summary

Steven Harrison Scruggs is a registered financial advisor currently at BRAGG FINANCIAL ADVISORS INC located in Charlotte, North Carolina.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Steven has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 53, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view Steven Harrison Scruggs'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

August 14, 2020 - Present

BRAGG FINANCIAL ADVISORS INC

Office #1: 1031 South Caldwell St Suite 200, Charlotte, NC 28203
RIA
CRD#: 108780
Charlotte, NC
Past

November 28, 2000 - September 2, 2020

QUEENS ROAD SECURITIES, LLC

BD
CRD#: 104277
CHARLOTTE, NC
Past

March 3, 2000 - December 4, 2000

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ

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".
BF
BRAGG FINANCIAL ADVISORS INC
BRAGG FINANCIAL ADVISORS INC

CRD#: 108780 / SEC#: 801-56890

RIA
Registered Investment Advisory firm - (10/12/1999 Approved)

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.

Highlighted states indicate IAR registrations

IAR
North Carolina
(8/14/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/31/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/20/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/2/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/6/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/17/2000
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 8/9/2000
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/3/2000
General Securities Principal Examination

Current Firm

BF
BRAGG FINANCIAL ADVISORS INC
BRAGG FINANCIAL ADVISORS INC

CRD#: 108780 / SEC#: 801-56890

RIA
Registered Investment Advisory firm - (10/12/1999 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1031 South Caldwell St Suite 200, Charlotte, NC 28203
Mailing Address
Phone number
(704) 377-0261
Established
Firm type
Fiscal year end
# of Employees
39

SEC notice filing (14 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV, PART II BROCHURE (3/10/2026)

Regulatory assets under management

Total Number of Accounts1,613
AUM (Assets Under Management)$ 4,671,122,824

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

BRAGG FINANCIAL ADVISORS INC

CRD#: 108780Charlotte, NC 28203

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