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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Sandra Bradley Carlson

Sandra B. Carlson

WAVERLY ADVISORS
CHARLOTTE, NC 28204
Some features on this profile are disabled
CRD#: 4507978
Sandra Bradley Carlson

Professional summary

Sandra Bradley Carlson, CFP®, who also goes by Sandra Denise Bradley, is a registered financial advisor currently at WAVERLY ADVISORS, LLC located in Charlotte, North Carolina.

Sandra is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Sandra has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sandra Denise Bradley

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 Sandra Bradley Carlson'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: 2002

Experience

Current

May 3, 2024 - Present

WAVERLY ADVISORS, LLC

Office #1: 2150 Park Drive, Charlotte, NC 28204
RIA
CRD#: 115332
CHARLOTTE, NC
Past

September 24, 2014 - November 14, 2014

TOBIN & COMPANY SECURITIES LLC

BD
CRD#: 137918
CHARLOTTE, NC
Past

November 26, 2013 - December 19, 2024

MCSHANE PARTNERS

RIA
CRD#: 107236
CHARLOTTE, NC
Past

March 29, 2007 - September 12, 2013

ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC

BD
CRD#: 142619
THOMASVILLE, GA
Past

November 28, 2006 - November 26, 2013

AMB WEALTH, LLC

RIA
CRD#: 113106
THOMASVILLE, GA
Past

October 4, 2006 - April 24, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
THOMASVILLE, GA
Past

June 2, 2006 - August 4, 2006

CNR SECURITIES, LLC

BD
CRD#: 18466
NEW YORK, NY
Past

March 10, 2006 - August 4, 2006

SYMPHONIC FINANCIAL ADVISORS LLC

RIA
CRD#: 135603
NEW YORK, NY
Past

February 21, 2003 - May 17, 2004

SYNOVUS SECURITIES, INC.

RIA
CRD#: 14023
COLUMBUS, GA
Past

April 16, 2002 - May 17, 2004

SYNOVUS SECURITIES, INC.

BD
CRD#: 14023
COLUMBUS, GA

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".
WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | PROMUS | MCSHANE PARTNERS

CRD#: 115332 / SEC#: 801-60741

RIA
Registered Investment Advisory firm - (11/30/2001 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
(5/3/2024)
IAR
South Carolina
(9/26/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/20/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/14/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/3/2006
General Securities Principal Examination

Current Firm

WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | PROMUS | MCSHANE PARTNERS

CRD#: 115332 / SEC#: 801-60741

RIA
Registered Investment Advisory firm - (11/30/2001 Approved)
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Contact information

Main Address
600 University Park Place Suite 501, Birmingham, AL 35209
Mailing Address
Phone number
(205) 871-3334
Established
Firm type
Fiscal year end
# of Employees
384

SEC notice filing (51 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

WAVERLY - ADV PART 2A BROCHURE (11/21/2025)

Regulatory assets under management

Total Number of Accounts34,313
AUM (Assets Under Management)$ 28,263,743,199

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/27/2025
Cover Page
Report
02/16/2024
Cover Page
Report
06/15/2023
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.

Company Information

WAVERLY ADVISORS, LLC

CRD#: 115332Charlotte, NC 28204

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