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JB

Jay R. Bradshaw

Some features on this profile are disabled
CRD#: 4604918
JB

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.

Jay Russton Bradshaw, who also goes by Russ Bradshaw, was a registered financial professional .

Jay is a previously registered financial professional and started their career in finance in 2002. Jay had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Russ Bradshaw

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.
1) ANDERSON BRADSHAW, PLLC; NON-INVESTMENT RELATED; SALT LAKE CITY, UT; CPA FIRM; PARTNER; 08/2012; 100% DURING BUSINESS HOURS; OVERSEE THE OPERATIONS OF THE FIRM, CLIENT RELATIONS, TAX TRAINING FOR ALL STAFF, MEETING WITH CLIENTS, AND PREPARING BOTH TAX RETURNS, FINANCIAL STATEMENTS, AND TAX FORECASTS. 2) BRADSHAW & COMPANY, PC; NON-INVESTMENT RELATED; SALT LAKE CITY, UT; HOLDING COMPANY; PRESIDENT/CEO; 10/1994; 5% DURING BUSINESS HOURS; ENTITY OWNS 55% INTEREST IN ANDERSON BRADSHAW, PLLC. THIS ENTITY ALSO IS THE DEPOSITORY FOR COMMISSIONS AND OTHER FEE BASED BUSINESS. DUTIES INCLUDE MANAGEMENT AND ACCOUNTING FUNCTIONS. 3) HALE CENTRE THEATRE; NON-INVESTMENT RELATED; SANDY, UT; NON-PROFIT; BOARD OF DIRECTORS; 10/2011; 0% DURING BUSINESS HOURS; HALE CENTRE THEATRE IS A TAX EMEMPT COMMUNITY THEATRE. I AM ON THE BOARD OF DIRECTORS AS PART OF THE NATIONAL ADVISORY COMMITTEE. ATTEND BOARD MEETING TWICE PER YEAR.

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

March 5, 2021 - December 1, 2022

DFPG INVESTMENTS, LLC

RIA
CRD#: 155576
Salt Lake City, UT
Past

March 4, 2021 - December 1, 2022

DFPG INVESTMENTS, LLC

BD
CRD#: 155576
LOGAN, UT
Past

May 29, 2019 - February 25, 2021

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
SALT LAKE CITY, UT
Past

July 6, 2018 - February 17, 2021

ARS INVESTMENT ADVISORS, INC.

RIA
CRD#: 293750
BOUNTIFUL, UT
Past

December 22, 2014 - June 29, 2018

ALLEGIS INVESTMENT ADVISORS, LLC

RIA
CRD#: 157314
Salt Lake City, UT
Past

June 11, 2014 - April 5, 2019

ALLEGIS INVESTMENT SERVICES, LLC

BD
CRD#: 168557
North Logan, UT
Past

August 20, 2010 - June 30, 2014

SIGNATOR FINANCIAL SERVICES, INC.

RIA
CRD#: 19061
SALT LAKE CITY, UT
Past

August 20, 2010 - June 30, 2014

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
SALT LAKE CITY, UT
Past

September 14, 2007 - August 23, 2010

INSPHERE SECURITIES, INC.

RIA
CRD#: 136433
SALT LAKE CITY, UT
Past

July 23, 2007 - August 23, 2010

INSPHERE SECURITIES, INC.

BD
CRD#: 136433
SALT LAKE CITY, UT
Past

February 16, 2007 - September 14, 2007

ALLEGIS ADVISORS, INC.

RIA
CRD#: 131242
SALT LAKE CITY, UT
Past

December 15, 2006 - August 9, 2007

EQUITY SERVICES, INC.

BD
CRD#: 265
SALT LAKE CITY, UT
Past

January 23, 2006 - October 20, 2006

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
SALT LAKE CITY, UT
Past

January 19, 2006 - October 20, 2006

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
SALT LAKE CITY, UT
Past

January 25, 2005 - December 31, 2005

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
SALT LAKE CITY, UT
Past

November 25, 2002 - December 31, 2005

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LYNNFIELD, MA

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
IAR
Series 65
Date: 9/21/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/17/2002
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 6
Date: 11/22/2002
Investment Company Products/Variable Contracts Representative Examination

Current Firm

DI
DFPG INVESTMENTS, LLC
1031 CAPITAL SOLUTIONS | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SUMMIT GROUP WEALTH ADVISORS | SERRATELLI FINANCIAL GROUP | SENTINELROCK WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PARKVIEW WEALTH ADVISORS | OXFORD FINANCIAL GROUP | NUCLEUS FINANCIAL GROUP | MARCH | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | HULSEY FINANCIAL | GROVE WEALTH ADVISORS | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES | DIVERSIFY ADVISOR NETWORK | DFPG INVESTMENTS, LLC | DFPG INVESTMENTS, INC. | DFPG INSURANCE, INC. | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BRENT REED FINANCIAL SERVICES | ASHLAND PACIFIC

CRD#: 155576 / SEC#: 801-107896, 8-68730

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
9017 S Riverside Drive Suite 210, Sandy, UT 84070
Mailing Address
9017 S Riverside Drive Suite 210, Sandy, UT 84070
Phone number
(801) 838-9999
Established
Utah since 10/12/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
20

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

DFPG FORM ADV PART 2A (3/29/2024)
DIVERSIFY ADVISORY SERVICES FORM ADV PART 2A (3/29/2024)
DFPG FORM ADV PART 2A_03.28.2023 (3/29/2024)

Direct owners and executive officers

NamePositionCRD#
FALCON PARK CAPITAL, LLCLIMITED LIABILITY COMPANY
ANDERSON, JOHN BRADLEYCHIEF COMPLIANCE OFFICER6037308
BADALAMENTI, CHARLES RICHARDFINOP2065038
BENDIX, MICHAEL ALLANCEO5379777
LAGA, DAVID RYANCFO & COO4919873
SMITH, RYAN OMERPRESIDENT4340304

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

DFPG INVESTMENTS, LLC

CRD#: 155576

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