Janice L. Brady

CONCEPTS FINANCIAL SERVICES

Kirkland, WA 98033

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CRD#: 4709621

Professional summary

Janice Lynn Brady is a registered financial advisor currently at CONCEPTS FINANCIAL SERVICES, LLC located in Kirkland, Washington.

Janice is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Janice has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.

Janice Brady, Sole Proprietor; Insurance agent; 01/2001 Kirkland, WA 98033; insurance sales and service; 2 hrs per month/0 during trading Gipson, Woodruff & Brady, LLC; Owner; 05/2015; Kirkland, WA 98033; tax preparation, small business consulting; 20 hours per month/20 during securities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Janice Lynn Brady'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

June 25, 2020 - Present

CONCEPTS FINANCIAL SERVICES, LLC

Office #1: 10518 Ne 68th St Bldg B, Suite 201, Kirkland, WA 98033

RIA

CRD#: 305925

Kirkland, WA

Past

January 15, 2010 - June 29, 2020

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

RENTON, WA

Past

January 15, 2010 - June 29, 2020

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Kirkland, WA

Past

February 22, 2008 - January 22, 2010

WADDELL & REED

RIA

CRD#: 866

BELLEVUE, WA

Past

February 22, 2008 - January 22, 2010

WADDELL & REED

CRD#: 866

BELLEVUE, WA

Past

January 4, 2007 - December 31, 2007

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

RENTON, WA

Past

June 26, 2006 - December 31, 2007

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

RENTON, WA

Past

February 22, 2005 - July 28, 2006

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

RENTON, WA

Past

January 3, 2004 - February 24, 2005

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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

Washington
(6/25/2020)

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: 12/29/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/29/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/27/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/31/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CONCEPTS FINANCIAL SERVICES, LLC

CRD#: 305925 / SEC#:

Washington

Registered Investment Advisory firm - (6/25/2020 Approved)

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Contact information

Main Address

10518 Ne 68th St Bldg B, Suite 201, Kirkland, WA 98033

Mailing Address

Phone number

(425) 822-2020

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	81
AUM (Assets Under Management)	$ 21,020,000

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

Janice L. Brady

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Janice Lynn Brady's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

WADDELL & REED

WADDELL & REED

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

AVANTAX INVESTMENT SERVICES, INC.

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/2006

Series 63

Date: 10/29/2003

SIE

Date: 10/1/2018

Series 7

Date: 12/27/2007

Series 6

Date: 12/31/2003

Current Firm

CONCEPTS FINANCIAL SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CONCEPTS FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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