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Bradley E. Gardner

Some features on this profile are disabled
CRD#: 4423724
BG

Professional summary

Bradley Everett Gardner was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Bradley is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Bradley had worked at 7 firms, which includes REDWOOD INVESTMENT GROUP INC, GOLDEN STATE WEALTH MANAGEMENT LLC, LPL FINANCIAL LLC, RAYMOND JAMES FINANCIAL SERVICES ADVISORS INC, RAYMOND JAMES FINANCIAL SERVICES INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, EDWARD JONES.

top-8-questions

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.

Blog Corner

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®
None

Experience

Past

September 25, 2013 - September 20, 2017

REDWOOD INVESTMENT GROUP, INC

RIA
CRD#: 168017
FORT BRAGG, CA
Past

August 6, 2013 - September 20, 2017

GOLDEN STATE WEALTH MANAGEMENT, LLC

RIA
CRD#: 167995
SOUTH COAST METRO, CA
Past

February 28, 2012 - October 29, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT BRAGG, CA
Past

February 27, 2012 - October 18, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT BRAGG, CA
Past

June 17, 2009 - February 29, 2012

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
FORT BRAGG, CA
Past

June 1, 2009 - February 29, 2012

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
FORT BRAGG, CA
Past

June 26, 2006 - June 2, 2009

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
FORT BRAGG, CA
Past

June 13, 2005 - June 2, 2009

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
FORT BRAGG, CA
Past

September 6, 2001 - June 14, 2005

EDWARD JONES

BD
CRD#: 250
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".
RI
REDWOOD INVESTMENT GROUP, INC
REDWOOD INVESTMENT GROUP, INC | REDWOOD INVESTMENTS

CRD#: 168017 / SEC#: 801-120258

RIA
Registered Investment Advisory firm - (2/4/2021 Approved)
California
Registered Investment Advisory firm - (3/13/2021 Terminated)
Texas
Registered Investment Advisory firm - (6/21/2013 Conditional Restricted)

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
RR
IAR
Series 66
Date: 6/23/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/18/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/18/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/3/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/5/2001
General Securities Representative Examination

Current Firm

RI
REDWOOD INVESTMENT GROUP, INC
REDWOOD INVESTMENT GROUP, INC | REDWOOD INVESTMENTS

CRD#: 168017 / SEC#: 801-120258

RIA
Registered Investment Advisory firm - (2/4/2021 Approved)
California
Registered Investment Advisory firm - (3/13/2021 Terminated)
Texas
Registered Investment Advisory firm - (6/21/2013 Conditional Restricted)
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Contact information

Main Address
319 N Main Street, Fort Bragg, CA 95437
Mailing Address
Phone number
(707) 964-9700
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (17 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

REDWOOD INVESTMENT GROUP WRAP FEE PROGRAM BROCHURE (2/27/2025)
ADV 2A FIRM BROCHURE (2/27/2025)

Regulatory assets under management

Total Number of Accounts755
AUM (Assets Under Management)$ 176,414,329

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

REDWOOD INVESTMENT GROUP, INC

CRD#: 168017

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