Paul A. Brazie

WESTMINSTER FINANCIAL ADVISORY CORP

Dayton, OH 45458

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CRD#: 4253686

Professional summary

Paul Alan Brazie, CFP® is a registered financial advisor currently at WESTMINSTER FINANCIAL ADVISORY CORP located in Dayton, Ohio and TUDOR FINANCIAL, INC. located in Dayton, Ohio.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Paul has worked at 6 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 4, Series 53 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.

Tudor Financial IAR 8111 Timberlodge Trail Dayton, OH 45458 20 Hours a week Investment Related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Alan Brazie'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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

August 13, 2018 - Present

WESTMINSTER FINANCIAL ADVISORY CORP

Office #1: 8111 Timberlodge Trail, Dayton, OH 45458

RIA

CRD#: 110283

Dayton, OH

Current

September 12, 2018 - Present

TUDOR FINANCIAL, INC.

Office #1: 8111 Timberlodge Trail, Dayton, OH 45458-2103

RIA

CRD#: 121495

Dayton, OH

Current

August 10, 2018 - Present

WESTMINSTER FINANCIAL SECURITIES, INC.

Office #1: 8111 Timberlodge Trail, Dayton, OH 45458

CRD#: 20677

Dayton, OH

Past

December 12, 2013 - August 10, 2018

KEY INVESTMENT SERVICES LLC

CRD#: 136300

BROOKLYN, OH

Past

December 10, 2013 - August 10, 2018

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

BROOKLYN, OH

Past

May 21, 2010 - December 31, 2011

WESTMINSTER FINANCIAL ADVISORY CORP

RIA

CRD#: 110283

VANDALIA, OH

Past

May 21, 2010 - December 31, 2011

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

BEAVERCREEK, OH

Past

January 3, 2007 - May 21, 2010

MM ASCEND LIFE INVESTOR SERVICES, LLC

RIA

CRD#: 36451

CINCINNATI, OH

Past

March 9, 2005 - May 21, 2010

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

Past

September 24, 2003 - March 1, 2005

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

BEAVERCREEK, OH

Past

January 30, 2003 - July 17, 2003

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

May 15, 2002 - March 24, 2003

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

BEAVERCREEK, OH

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".

WESTMINSTER FINANCIAL ADVISORY CORP

CRD#: 110283 / SEC#: 801-29690

RIA

Registered Investment Advisory firm - (6/15/1987 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.

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

Arizona
(6/11/2024)

Colorado
(10/11/2023)

IAR

Colorado
(10/12/2023)

Florida
(10/3/2022)

Georgia
(1/14/2023)

Indiana
(1/7/2021)

Kentucky
(3/13/2023)

Ohio
(8/10/2018)

IAR

Ohio
(8/13/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/20/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/14/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 4/8/2004

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 2/28/2004

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/19/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WESTMINSTER FINANCIAL ADVISORY CORP

CRD#: 110283 / SEC#: 801-29690

RIA

Registered Investment Advisory firm - (6/15/1987 Approved)

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Contact information

Main Address

50 Chestnut Street Suite A-400, Beavercreek, OH 45440

Mailing Address

Phone number

(937) 898-5010

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WESTMINSTER FINANCIAL ADVISORY CORP. ADV PART 2 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	3,255
AUM (Assets Under Management)	$ 1,224,901,646

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2024	Cover Page	Report
02/26/2024	Cover Page	Report
12/09/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Paul A. Brazie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Alan Brazie's CRS (Customer Relationship Summary).

Certified licenses

Experience

TUDOR FINANCIAL, INC.

WESTMINSTER FINANCIAL SECURITIES, INC.

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

WESTMINSTER FINANCIAL ADVISORY CORP

WESTMINSTER FINANCIAL SECURITIES, INC.

MM ASCEND LIFE INVESTOR SERVICES, LLC

MM ASCEND LIFE INVESTOR SERVICES, LLC

WESTMINSTER FINANCIAL SECURITIES, INC.

FORESTERS EQUITY SERVICES, INC.

WESTMINSTER FINANCIAL SECURITIES, INC.

Primary Firm SEC Registration

WESTMINSTER FINANCIAL ADVISORY CORP

State Registrations and Notice Filings

Exams

Series 66

Date: 8/20/2002

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/14/2002

Series 4

Date: 4/8/2004

Series 53

Date: 2/28/2004

Series 24

Date: 11/19/2002

FINRA

Current Firm

WESTMINSTER FINANCIAL ADVISORY CORP

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WESTMINSTER FINANCIAL ADVISORY CORP

TRUST BUT VERIFY

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