Bradford P. Bagby

TRINITY CAPITAL MANAGEMENT

Overland Park, KS 66202

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CRD#: 4694374

Professional summary

Bradford Petersen Bagby, who also goes by Bradford Peterson Bagby, is a registered financial advisor currently at TRINITY CAPITAL MANAGEMENT, LLC located in Overland Park, Kansas.

Bradford is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Bradford has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bradford Peterson Bagby

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 Bradford Petersen Bagby's 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®

None

Experience

Current

February 27, 2014 - Present

TRINITY CAPITAL MANAGEMENT, LLC

Office #1: 7700 Shawnee Mission Parkway Suite 315, Overland Park, KS 66202

RIA

CRD#: 140946

Overland Park, KS

Past

March 26, 2008 - November 21, 2011

BAGBY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 146772

KANSAS CITY, MO

Past

November 2, 2005 - February 19, 2008

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

KANSAS CITY, MO

Past

November 2, 2005 - February 19, 2008

OPPENHEIMER & CO. INC.

CRD#: 249

KANSAS CITY, MO

Past

February 24, 2005 - November 25, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

KANSAS CITY, MO

Past

October 28, 2004 - November 25, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 28, 2003 - August 31, 2004

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

KANSAS CITY, MO

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

Kansas
(2/28/2014)

IAR

Missouri
(2/27/2014)

IAR

Texas
(1/22/2020)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/16/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/30/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/16/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/26/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TRINITY CAPITAL MANAGEMENT, LLC

CRD#: 140946 / SEC#: 801-68552

RIA

Registered Investment Advisory firm - (5/20/2011 Terminated)

Illinois

Registered Investment Advisory firm - (12/31/2013 Terminated)

Kansas

Registered Investment Advisory firm - (5/13/2011 Approved)

Missouri

Registered Investment Advisory firm - (3/24/2011 Approved)

Texas

Registered Investment Advisory firm - (3/11/2011 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

7700 Shawnee Mission Parkway Suite 315, Overland Park, KS 66202

Mailing Address

Phone number

(913) 944-4325

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	69
AUM (Assets Under Management)	$ 47,451,607

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

Bradford P. Bagby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradford Petersen Bagby's CRS (Customer Relationship Summary).

Certified licenses

Experience

BAGBY CAPITAL MANAGEMENT, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

SUNSET FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/16/2005

Series 63

Date: 9/30/2003

Series 7

Date: 8/16/2004

Series 6

Date: 8/26/2003

Current Firm

TRINITY CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TRINITY CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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