Brad C. Neumann

TRUMBOWER FINANCIAL ADVISORS LLC

Bethesda, MD 20814-5330

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CRD#: 4706942

Professional summary

Brad Christopher Neumann, CFA is a registered financial advisor currently at TRUMBOWER FINANCIAL ADVISORS LLC located in Bethesda, Maryland.

Brad is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Brad has worked at 4 firms and has passed the Series 66 and Series 7 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.

NAGAWICKA~'NIR'~828 E JOHNSON ST~~MADISON~WI~53703~RENTAL PROPERTY OWNER/MANAGEMENT~OWNER/SOLE PROPRIETER~3/2007~1HRS~0HRS~RENTAL PROPERTY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brad Christopher Neumann'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®

CFA

Chartered Financial Analyst

Experience

Current

November 21, 2011 - Present

TRUMBOWER FINANCIAL ADVISORS LLC

Office #1: 3 Bethesda Metro Center Ste 340, Bethesda, MD 20814-5330

RIA

CRD#: 107495

Bethesda, MD

Past

July 25, 2005 - June 20, 2011

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

MADISON, WI

Past

January 10, 2005 - June 20, 2011

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

MADISON, WI

Past

November 13, 2003 - January 14, 2005

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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".

TRUMBOWER FINANCIAL ADVISORS LLC

CRD#: 107495 / SEC#: 801-51817

RIA

Registered Investment Advisory firm - (5/1/1996 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

Maryland
(11/21/2011)

IAR

Texas
(11/21/2011)

IAR

Virginia
(11/21/2011)

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 66

Date: 12/23/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/12/2003

General Securities Representative Examination

Current Firm

TRUMBOWER FINANCIAL ADVISORS LLC

CRD#: 107495 / SEC#: 801-51817

RIA

Registered Investment Advisory firm - (5/1/1996 Approved)

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Contact information

Main Address

3 Bethesda Metro Center Ste 340, Bethesda, MD 20814-5330

Mailing Address

Phone number

(301) 215-8340

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRUMBOWER FINANCIAL ADVISORS, LLC (3/13/2025)

Regulatory assets under management

Total Number of Accounts	951
AUM (Assets Under Management)	$ 1,831,276,498

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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Brad C. Neumann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brad Christopher Neumann's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUMBOWER FINANCIAL ADVISORS LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

WADDELL & REED

Primary Firm SEC Registration

TRUMBOWER FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/23/2003

Series 7

Date: 11/12/2003

Current Firm

TRUMBOWER FINANCIAL ADVISORS LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRUMBOWER FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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