Bradley R. Saurbaugh

CHICAGO INVESTMENT ADVISORY COUNCIL

St. Charles, IL 60174

Some features on this profile are disabled

CRD#: 4871367

Professional summary

Bradley Russell Saurbaugh is a registered financial advisor currently at CHICAGO INVESTMENT ADVISORY COUNCIL, INC. located in St. Charles, Illinois and J.W. COLE FINANCIAL, INC. located in St. Charles, Illinois.

Bradley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Bradley has worked at 5 firms and has passed the Series 66, SIE 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.

NAME: INSURANCE SALES INVESTMENT RELATED: YES ADDRESS: CHICAGO INVESTMENT ADVISORY COUNCIL, INC., 1601 E. MAIN STREET, SUITE 1C, ST. CHARLES, IL 60174 NATURE OF BUSINESS: INSURANCE SALES TITLE: FINANCIAL ASSOCIATE START DATE: JANUARY, 2011 APPROXIMATE HOURS PER MONTH: 25 HOURS DEVOTED TO OTHER BUSINESS DURING TRADING HOURS WILL BE MINIMAL. DUTIES: INSURANCE SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradley Russell Saurbaugh'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®

None

Experience

Current

February 4, 2011 - Present

CHICAGO INVESTMENT ADVISORY COUNCIL, INC.

Office #1: 1601 E. Main Street Suite 1c, St. Charles, IL 60174

RIA

CRD#: 123243

St. Charles, IL

Current

January 27, 2011 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 1601 E Main Street Ste 1c, St. Charles, IL 60174

CRD#: 124583

St. Charles, IL

Past

November 1, 2007 - February 4, 2011

WADDELL & REED

RIA

CRD#: 866

SCHAUMBURG, IL

Past

October 31, 2007 - February 4, 2011

WADDELL & REED

CRD#: 866

SCHAUMBURG, IL

Past

September 28, 2005 - June 22, 2007

NATIONWIDE SECURITIES, LLC

CRD#: 11173

HERNDON, VA

Past

March 15, 2005 - September 19, 2005

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

MCLEAN, VA

Past

January 1, 2005 - September 19, 2005

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

CHICAGO INVESTMENT ADVISORY COUNCIL, INC.

CRD#: 123243 / SEC#: 801-120969

RIA

Registered Investment Advisory firm - (4/26/2021 Approved)

Illinois

Registered Investment Advisory firm - (6/21/2021 Terminated)

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).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(1/27/2011)

IAR

Illinois
(2/4/2011)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/17/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/22/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CHICAGO INVESTMENT ADVISORY COUNCIL, INC.

CRD#: 123243 / SEC#: 801-120969

RIA

Registered Investment Advisory firm - (4/26/2021 Approved)

Illinois

Registered Investment Advisory firm - (6/21/2021 Terminated)

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

1601 E. Main Street Suite 1c, St. Charles, IL 60174

Mailing Address

Phone number

(630) 444-1410

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (4/1/2025)

CIAC SEC FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	1,600
AUM (Assets Under Management)	$ 190,000,000

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.

Similar Advisors

James Flanagan

INDEPENDENT FINANCIAL GROUP, LLC

IAR

Downers Grove, IL

Flavia Cardozo

J.P. MORGAN SECURITIES LLC

IAR

Naperville, IL

Justin Dagostino

VERTEX PARTNERS

IAR

Downers Grove, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Bradley R. Saurbaugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradley Russell Saurbaugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

WADDELL & REED

WADDELL & REED

NATIONWIDE SECURITIES, LLC

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

CHICAGO INVESTMENT ADVISORY COUNCIL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/17/2005

SIE

Date: 10/1/2018

Series 7

Date: 12/22/2004

FINRA

Current Firm

CHICAGO INVESTMENT ADVISORY COUNCIL, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CHICAGO INVESTMENT ADVISORY COUNCIL, INC.

TRUST BUT VERIFY

Similar Advisors