BB
Brody R. Bray
Some features on this profile are disabled
CRD#: 4727529
BB
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.
Brody Ralph Bray, who also goes by Brody R. Bray, was a registered financial professional .
Brody is a previously registered financial professional and started their career in finance in 2004. Brody had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brody R. Bray
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.
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®
NoneExperience
Past
October 31, 2019 - August 18, 2021
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
October 28, 2019 - August 18, 2021
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
Atlanta, GA
Past
July 6, 2010 - October 28, 2019
THE STRATEGIC FINANCIAL ALLIANCE, INC.
RIA
CRD#: 126514
ATLANTA, GA
Past
June 14, 2010 - October 28, 2019
THE STRATEGIC FINANCIAL ALLIANCE, INC.
BD
CRD#: 126514
ATLANTA, GA
Past
January 1, 2010 - June 16, 2010
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
January 28, 2008 - June 5, 2008
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
ATLANTA, GA
Past
January 23, 2008 - June 5, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
ATLANTA, GA
Past
July 20, 2007 - January 14, 2008
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ATLANTA, GA
Past
June 7, 2006 - January 14, 2008
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
February 27, 2004 - July 9, 2004
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
ATLANTA, GA
Past
February 10, 2004 - July 9, 2004
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
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
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AP
AMERICAN PORTFOLIOS ADVISORS, INC
21ST CENTURY FINANCIAL SERVICES | ROSSITER FINANCIAL GROUP | ROONEY TAX & FINANCIAL SERVICES | ROHN HEIN ASSOCIATES | RJG TAX & CAPITAL SOLUTIONS, INC. | RIGHT FINANCIAL ADVISOR | RETIREMENT RESOURCE NETWORK | REISNER HUDEPOHL FINANCIAL SERVICES, INC. | PROFESSIONAL PLANNING SERVICES | PREFERRED FINANCIAL GROUP | PPS ADVISORS INC. | PINNACLE WEALTH MANAGEMENT | PINNACLE TAX ADVISORS | PERRY FINANCIAL GROUP | PENN PLAZA ASSOCIATES | PEARSON FINANCIAL ADVISORS | PEAK WEALTH SOLUTIONS | PATHWAY FINANCIAL GROUP OF CENTRAL FLORIDA | PASSPORT WEALTH | PARTNERS ALLIANCE | PALMER INSURANCE & FINANCIAL SERVICES, INC. | OSTAPOW FINANCIAL SERVICES | NORTHRIVER FINANCIAL GROUP, LLC | NORTHERN ADVISORY GROUP | NORTHEAST RISK MANAGEMENT GROUP, INC. | NORTH SHORE WEALTH MANAGEMENT ADVISORS | NORTH POINT ADVISORS INC. | NASSAU WEALTH MANAGEMENT | MURPHY FINANCIAL GROUP | MS BALLIN FINANCIAL STRATEGIES | MORROW FINANCIAL SERVICES | MKB ASSOCIATES, INC. | MILLER, CHRISTIAN & ZWIEBEL ASSET MGMT CORP | MFI RETIREMENT PLANNING ASSOCIATES | MCM INVESTOR SERVICES | MAP ESTATE PLANNING | MANZI, PINO ADVISORY SERVICES, LLC | MALCOLM WEBB WEALTH MANAGEMENT | MAGII, INC. | MADISON WEALTH MANAGERS | LYTLE & COMPANY | LOFTUS FINANCIAL, LLC | LIVE OAK WEALTH MANAGEMENT | LIBRA FINANCIAL GROUP | LEA FINANCIAL GROUP | LAPORTE WEALTH MANAGEMENT GROUP | KT WEALTH GROUP | KLYMAN FINANCIAL | K&R TAX AND FINANCIAL SERVICES, INC. | JOSEPH MCPHERSON, CFP | JMR FINANCIAL SERVICES | JMAC ADVISORS, INC. | JEM WEALTH MANAGEMENT | JCD ASSOCIATES INC. | J FERGUSON FINANCIAL, INC. | IVALUE FINANCIAL PLANNING, LLC | ITP PARTNERS, LLC | INVESTORS CHOICE FINANCIAL SERVICES INC. | INVERNESS FINANCIAL GROUP, INC. | INSIGHT CAPITAL MANAGEMENT | INFINITY TAX & FINANCIAL PLANNING | INDIANO & CO CPAS INC. | HUNTLEY FINANCIAL SERVICES, INC | HOPPER MCMILLIN | HIGHLAND WEALTH MANAGEMENT, LLC | HARRY KATZ & ASSOCIATES | HADDON PLANNING GROUP | GUIDANCE LIFE & FINANCIAL | GROSS FINANCIAL SERVICE | GOLDNER FINANCIAL GROUP | GOLDEN GATE FINANCIAL PARTNERS | GO FINANCIAL SERVICES | GENEVA WEALTH MANAGEMENT | GATTUSO FINANCIAL SERVICES | GARRY PRIVATE WEALTH RESOURCES, LLC | GALLANT INSURANCE INVESTMENTS | G.S. WEALTH MANAGEMENT, CORP. | FRANKLIN HAROLD FINANCIAL, LLC | FORTRESS FINANCIAL SERVICES, INC. | FORGE FINANCIAL ADVISORS | FOCUS FINANCIAL GROUP | FISCH FINANCIAL | FINGER LAKES INVESTMENTS CORP. | FINEST FINANCIAL GROUP | FINESCO ASSOCIATES | FINANCIAL SOLUTIONS | FINANCIAL PLANNING ADVISORY SERVICES, INC. | FINANCIAL DESIGN GROUP INC. | ESPARZA GROUP | ELITE WEALTH STRATEGIES | EAST END PLANNING, INC. | DIDDEL & DIDDEL | DEMPSEY WEISS & ASSOCIATES | DELORENZO FINANCIAL GROUP, LLC | DANIELS FINANCIAL SERVICES | DANIEL N SAXE INCOME TAX INC | CYSNER FINANCIAL SERVICES, INC. | CREATIVE CAPITAL GROUP | COX WEALTH MANAGEMENT, LLC | COLLINS WEALTH MANAGEMENT | COBRITY FINANCIAL | COACTIVE WEALTH STRATEGISTS, LLC | CLEARVIEW FINANCIAL SERVICES | CLAYTON FINANCIAL INC. | CLARK & COMPANY | CLARITY WEALTH MANAGEMENT LLC | CHARLETON FINANCIAL | CHAMPLAIN WEALTH MANAGEMENT | CF PROFESSIONAL, INC | CERTIFIED CONSULTING SERVICES | CAVE WEALTH MANAGEMENT | CARROLL FINANCIAL SERVICES, INC. | CARLOZZI FINANCIAL SERVICES | CARING FINANCIAL SERVICES LLC | CAPITAL WEALTH & TAX MANAGEMENT, LLC | CAPITAL BUSINESS STRATEGIES | CAPE COD WEALTH STRATEGIES & INSURANCE SERVICES, LLC. | BRAVERA PLANNING & INVESTING | BOCKLET WEALTH MANAGEMENT | BLANK FINANCIAL GROUP | BHT WEALTH MANAGEMENT, LLC. | BEVERLY CURMANSKIE FINANCIAL LLC | BELMONT TAX AND FINANCIAL SERVICES | BEDNAR FINANCIAL GROUP, LLC | BARONS FINANCIAL STRATEGIES, INC. | BARBARA TREADWELL, LLC | BAKER FINANCIAL GROUP | BAILEY FINANCIAL PLANNING, LLC | ATT FINANCIAL GROUP | ASSET & WEALTH MANAGEMENT GROUP LLC | ASPIRE FINANCIAL GROUP, LLC | ANGELO PLANNING GROUP, LLC | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS ADVISORS. INC | AMERICAN PORTFOLIOS ADVISORS, INC | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE RETIREMENT SOLUTIONS | ABS WEALTH MANAGEMENT | ABEL WEALTH MANAGEMENT, LLC | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A. DEGREGORIO JR. LLC | 76 WEALTH ADVISORY...
CRD#: 112697 / SEC#: 801-61065
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4250 Veteran's Memorial Highway 4th. Floor, Suite 420e, Holbrook, NY 11741
Mailing Address
Phone number
631-439-4600 X156
Established
Firm type
Fiscal year end
# of Employees
700
Regulatory assets under management
| Total Number of Accounts | 54,553 |
| AUM (Assets Under Management) | $ 13,083,636,201 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/25/2024 |
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.
