BR
Brad L. Rundbaken
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CRD#: 4172910
BR
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 Lawrence Rundbaken was a registered financial professional .
Brad is a previously registered financial professional and started their career in finance in 2000. Brad had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
October 22, 2015 - April 1, 2021
BELPOINTE ASSET MANAGEMENT LLC
RIA
CRD#: 143440
Sacramento, CA
Past
April 3, 2015 - October 1, 2015
S&G WEALTH MANAGEMENT, LLC
RIA
CRD#: 173343
CHARLESTON, SC
Past
November 19, 2014 - March 30, 2016
TUTTLE CAPITAL MANAGEMENT, LLC
RIA
CRD#: 164937
MT. PLEASANT, SC
Past
January 22, 2014 - May 11, 2017
TUTTLE WEALTH MANAGEMENT, LLC
RIA
CRD#: 123767
MT. PLEASANT, SC
Past
August 29, 2012 - January 6, 2014
CHARLES TOWNE CAPITAL, LLC
RIA
CRD#: 164710
CHARLESTON, SC
Past
January 4, 2007 - August 24, 2007
EVOLVE SECURITIES, INC.
BD
CRD#: 127474
DALLAS, TX
Past
January 3, 2007 - August 24, 2007
EVOLVE SECURITIES, INC.
RIA
CRD#: 127474
CHARLESTON, SC
Past
June 13, 2003 - December 31, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
November 18, 2002 - June 4, 2003
QA3 FINANCIAL CORP.
BD
CRD#: 14754
OMAHA, NE
Past
June 6, 2000 - July 25, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
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".
BA
BELPOINTE ASSET MANAGEMENT LLC
ADVANCED PLANNING STRATEGIES | ZIMMERER & TECLE PRIVATE WEALTH MANAGEMENT, LLC | YATRA WEALTH DESIGN | WILCOX FINANCIAL SERVICES | WHITWELL & CO., LLC | WEALTH MANAGEMENT SOLUTIONS, LLC | TWO RIVERS WEALTH ADVISORS, LLC | TWENTY-TWENTY WEALTH & ADVISORY PARTNERS LLC | TUDOR CREST CAPITAL LLC | TODD MANN FINANCIAL SERVICES | TM FINANCIAL PLANNING | THREE PILLARS WEALTH MANAGEMENT, LLC | THORNTON INVESTMENT MANAGEMENT | THOR TRADING GROUP, LLC | THIRD AVENUE WEALTH | THE RETIREMENT ASSET MANAGEMENT GROUP | THE PATRIOT FINANCIAL GROUP, LLC | THE KORNERSTONE GROUP, LLC | THE ALCHEMISTS | T. MANN FINANCIAL | SYNERGY WEALTH MANAGEMENT | SYENA CAPITAL | SUMNER FINANCIAL ADVISORS, LLC | STEVEN L. SCHIPPEL CONSULTING | STEIN CAPITAL MANAGEMENT | SOONER PRIVATE FINANCIAL COUNCIL | SEAHORSE FAMILY OFFICE | SCHRECK WEALTH MANAGEMENT, LLC | SC CAPITAL ADVISORS | SARAH CARR FINANCIAL | SANGWIN INVESTMENTS | SANDERLING PARTNERS | ROWE FINANCIAL | RFS BLAZEI GROUP LLC | REUTER CAPITAL, LLC | RESHAPE WEALTH | REDWOOD FINANCIAL STRATEGIES | REDINGTON INVESTMENTS, LLC | R.D. TUNICK, INC. | PLATINUM FAMILY WEALTH OF BEVERLY HILLS, LLC | PALMERSTON GROUP ADVISORS | PALMER PRIVATE WEALTH | OSTB WEALTH STRATEGIES | OPUS WEALTH MANAGEMENT | OAK LEAF CAPITAL PARTNERS, LLC | NVISION WEALTH | NORTHSTAR FINANCIAL | NAVIGATION WEALTH MANAGEMENT, LLC | MOUNTAIN FINANCIAL CAPITAL | MOULTON WEALTH MANAGEMENT | MONTE RIO PARTNERS | MONGAR FINANCIAL SOLUTIONS | MONEYCOACH | MODERN CAPITAL, INC. | MIKE HINDMAN WEALTH ADVISORS, LLC | MIELE ADVISORY SERVICES, INC. | ME NEXT YEAR | MCLEAN ADVISORY GROUP | MANTZ WEALTH MANAGEMENT GROUP | LRVS ADVISORY GROUP | LIEBAERT ADVISORY GROUP | LEWIS WEALTH MANAGEMENT | LAUREL WEALTH SOLUTIONS | KNH GROUP, LLC | KIMMEL CONSULTING, LLC | KEY CONCERNS, INC. | KELLY DAY FINANCIAL SERVICES | KATSURA ASSET MANAGEMENT | JUMP, PERRY AND COMPANY, LLP | JULIAN WEALTH MANAGEMENT | JIM CIURLIK CONSULTING, INC. | JAG WM CO. | J.O.Y. WEALTH PARTNERS | INNOVATIVE PLANNING PARTNERS | HORST & JAGER | HOLLY WEALTH PLANNING | HAVEN FINANCIAL ADVISORS, LLC | HAVEN ADVISORY PARTNERS | GUARDIAN CAPITAL MANAGEMENT, LLC | GRELLE, JUMP & COMPANY | GREENVILLE FINANCIAL GROUP | GREAT LAKES BAY FINANCIAL | GFO WEALTH MANAGEMENT, LLC | GBJ SCOTT FINANCIAL, INC. | GATEWAY FINANCIAL ADVISORS | FUQUAY FINANCIAL PLANNING | FULL SAIL FINANCIAL | FRUITION FINANCIAL, LLC | FRENCH FINANCIAL GROUP | FINANCIALLY FIT LLC | FINANCIAL DESIGN LABS | EP TREMBLAY & ASSOCIATES, INC. | D.H. HILL ADVISORS, INC. | CREST ADVISORS, LLC | CREATIVE RETIREMENT PLANNING, LLC | CONNECTIVE PORTFOLIO MANAGEMENT | CONE WEALTH MANAGEMENT | CK WEALTH MANAGEMENT GROUP | CHILENO BAY FAMILY OFFICE | CHATHAM STREET ADVISORS | CHASLYN FINANCIAL GROUP, INC. | CB INVESTMENT MANAGEMENT | CARR FINANCIAL | CAPIROS WEALTH MANAGERS | CAPIROS WEALTH MANAGEMENT | BURGESSER WEALTH MANAGEMENT | BROOKS & ASSOCIATES CPAS, INC. | BRIDGEMORE FINANCIAL | BREAKAWAY FINANCIAL GROUP, LLC | BRANDSTRATEGY INVESTMENT MANAGEMENT | BOROUGH WEALTH MANAGEMENT, LLC | BORDE GLOBAL WEALTH MANAGEMENT | BLACK WEALTH FINANCIAL | BIRCHFIELD PARTNERS, LLC | BETTER DIVORCE SOLUTIONS | BELRAY ASSET MANAGEMENT, LLC | BELRAY ASSET MANAGEMENT | BELPOINTE WEALTH MANAGEMENT | BELPOINTE ASSET MANAGEMENT LLC | BELPOINTE | BEALL FINANCIAL PLANNING, INC. | AZER, DRISCOLL & DESIMONE, LLC | ASSET PRESERVATION STRATEGIES, INC. | ASPEN PEAK WEALTH MANAGEMENT, LLC | ASE PRIVATE WEALTH | ASE FINANCIAL ADVISORY GROUP, LLC | APERCU ADVISORS, LLC | ANTHEM ADVISORS, LLC | ANCHORY LLC | AMBRE FINANCIAL | ALETHEIA ADVISORY SERVICES, LLC | AFIN FAMILY WEALTH MANAGEMENT, INC.
CRD#: 143440 / SEC#: 801-69329
RIA
Registered Investment Advisory firm - (6/19/2008 Approved)Connecticut
Registered Investment Advisory firm - (7/30/2008 Terminated)New York
Registered Investment Advisory firm - (10/14/2008 Cancelled)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
BA
BELPOINTE ASSET MANAGEMENT LLC
ADVANCED PLANNING STRATEGIES | ZIMMERER & TECLE PRIVATE WEALTH MANAGEMENT, LLC | YATRA WEALTH DESIGN | WILCOX FINANCIAL SERVICES | WHITWELL & CO., LLC | WEALTH MANAGEMENT SOLUTIONS, LLC | TWO RIVERS WEALTH ADVISORS, LLC | TWENTY-TWENTY WEALTH & ADVISORY PARTNERS LLC | TUDOR CREST CAPITAL LLC | TODD MANN FINANCIAL SERVICES | TM FINANCIAL PLANNING | THREE PILLARS WEALTH MANAGEMENT, LLC | THORNTON INVESTMENT MANAGEMENT | THOR TRADING GROUP, LLC | THIRD AVENUE WEALTH | THE RETIREMENT ASSET MANAGEMENT GROUP | THE PATRIOT FINANCIAL GROUP, LLC | THE KORNERSTONE GROUP, LLC | THE ALCHEMISTS | T. MANN FINANCIAL | SYNERGY WEALTH MANAGEMENT | SYENA CAPITAL | SUMNER FINANCIAL ADVISORS, LLC | STEVEN L. SCHIPPEL CONSULTING | STEIN CAPITAL MANAGEMENT | SOONER PRIVATE FINANCIAL COUNCIL | SEAHORSE FAMILY OFFICE | SCHRECK WEALTH MANAGEMENT, LLC | SC CAPITAL ADVISORS | SARAH CARR FINANCIAL | SANGWIN INVESTMENTS | SANDERLING PARTNERS | ROWE FINANCIAL | RFS BLAZEI GROUP LLC | REUTER CAPITAL, LLC | RESHAPE WEALTH | REDWOOD FINANCIAL STRATEGIES | REDINGTON INVESTMENTS, LLC | R.D. TUNICK, INC. | PLATINUM FAMILY WEALTH OF BEVERLY HILLS, LLC | PALMERSTON GROUP ADVISORS | PALMER PRIVATE WEALTH | OSTB WEALTH STRATEGIES | OPUS WEALTH MANAGEMENT | OAK LEAF CAPITAL PARTNERS, LLC | NVISION WEALTH | NORTHSTAR FINANCIAL | NAVIGATION WEALTH MANAGEMENT, LLC | MOUNTAIN FINANCIAL CAPITAL | MOULTON WEALTH MANAGEMENT | MONTE RIO PARTNERS | MONGAR FINANCIAL SOLUTIONS | MONEYCOACH | MODERN CAPITAL, INC. | MIKE HINDMAN WEALTH ADVISORS, LLC | MIELE ADVISORY SERVICES, INC. | ME NEXT YEAR | MCLEAN ADVISORY GROUP | MANTZ WEALTH MANAGEMENT GROUP | LRVS ADVISORY GROUP | LIEBAERT ADVISORY GROUP | LEWIS WEALTH MANAGEMENT | LAUREL WEALTH SOLUTIONS | KNH GROUP, LLC | KIMMEL CONSULTING, LLC | KEY CONCERNS, INC. | KELLY DAY FINANCIAL SERVICES | KATSURA ASSET MANAGEMENT | JUMP, PERRY AND COMPANY, LLP | JULIAN WEALTH MANAGEMENT | JIM CIURLIK CONSULTING, INC. | JAG WM CO. | J.O.Y. WEALTH PARTNERS | INNOVATIVE PLANNING PARTNERS | HORST & JAGER | HOLLY WEALTH PLANNING | HAVEN FINANCIAL ADVISORS, LLC | HAVEN ADVISORY PARTNERS | GUARDIAN CAPITAL MANAGEMENT, LLC | GRELLE, JUMP & COMPANY | GREENVILLE FINANCIAL GROUP | GREAT LAKES BAY FINANCIAL | GFO WEALTH MANAGEMENT, LLC | GBJ SCOTT FINANCIAL, INC. | GATEWAY FINANCIAL ADVISORS | FUQUAY FINANCIAL PLANNING | FULL SAIL FINANCIAL | FRUITION FINANCIAL, LLC | FRENCH FINANCIAL GROUP | FINANCIALLY FIT LLC | FINANCIAL DESIGN LABS | EP TREMBLAY & ASSOCIATES, INC. | D.H. HILL ADVISORS, INC. | CREST ADVISORS, LLC | CREATIVE RETIREMENT PLANNING, LLC | CONNECTIVE PORTFOLIO MANAGEMENT | CONE WEALTH MANAGEMENT | CK WEALTH MANAGEMENT GROUP | CHILENO BAY FAMILY OFFICE | CHATHAM STREET ADVISORS | CHASLYN FINANCIAL GROUP, INC. | CB INVESTMENT MANAGEMENT | CARR FINANCIAL | CAPIROS WEALTH MANAGERS | CAPIROS WEALTH MANAGEMENT | BURGESSER WEALTH MANAGEMENT | BROOKS & ASSOCIATES CPAS, INC. | BRIDGEMORE FINANCIAL | BREAKAWAY FINANCIAL GROUP, LLC | BRANDSTRATEGY INVESTMENT MANAGEMENT | BOROUGH WEALTH MANAGEMENT, LLC | BORDE GLOBAL WEALTH MANAGEMENT | BLACK WEALTH FINANCIAL | BIRCHFIELD PARTNERS, LLC | BETTER DIVORCE SOLUTIONS | BELRAY ASSET MANAGEMENT, LLC | BELRAY ASSET MANAGEMENT | BELPOINTE WEALTH MANAGEMENT | BELPOINTE ASSET MANAGEMENT LLC | BELPOINTE | BEALL FINANCIAL PLANNING, INC. | AZER, DRISCOLL & DESIMONE, LLC | ASSET PRESERVATION STRATEGIES, INC. | ASPEN PEAK WEALTH MANAGEMENT, LLC | ASE PRIVATE WEALTH | ASE FINANCIAL ADVISORY GROUP, LLC | APERCU ADVISORS, LLC | ANTHEM ADVISORS, LLC | ANCHORY LLC | AMBRE FINANCIAL | ALETHEIA ADVISORY SERVICES, LLC | AFIN FAMILY WEALTH MANAGEMENT, INC.
CRD#: 143440 / SEC#: 801-69329
RIA
Registered Investment Advisory firm - (6/19/2008 Approved)Connecticut
Registered Investment Advisory firm - (7/30/2008 Terminated)New York
Registered Investment Advisory firm - (10/14/2008 Cancelled)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
500 Damonte Ranch Parkway Building 700, Unit 700, Reno, NV 89521
Mailing Address
500 Damonte Ranch Parkway Building 700, Unit 700, Reno, NV 89521
Phone number
(203) 629-3300
Established
Firm type
Fiscal year end
# of Employees
236
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,788 |
| AUM (Assets Under Management) | $ 6,010,457,854 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/28/2025 | ||
| 01/29/2024 |
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.
