Bradley H. Seberhagen

FIRST TRUST ADVISORS LP

WHEATON, IL 60187

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CRD#: 4995896

Professional summary

Bradley H Seberhagen, who also goes by Brad Howard Seberhagen, Brad Seberhagen, Bradley H. Seberhagen, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Wheaton, Illinois and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, 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 9 firms and has passed the Series 65, Series 66, SIE, Series 3, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brad Howard Seberhagen | Brad Seberhagen | Bradley H. Seberhagen

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.

OTHER BUSINESS NAME: BERKSHIRE HATHAWAY HOMES SERVICES. LOCATION: 980 N. MICHIGAN AVE. STE. 700. NATURE OF BUSINESS: REAL ESTATE. POSITION OR TITLE: LICENSED REALTOR. RESPONSIBILITIES: SELLING/RENTING INVESTMENT PROPERTY. INVESTMENT-RELATED: NO. HOURS PER MONTH(TOTAL/DURING MARKET HOURS): 1 TOTAL/ NONE DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradley H Seberhagen'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

November 3, 2014 - Present

FIRST TRUST ADVISORS LP

Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187

RIA

CRD#: 107027

WHEATON, IL

Current

October 2, 2014 - Present

FIRST TRUST PORTFOLIOS L.P.

Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187

CRD#: 28519

WHEATON, IL

Past

August 4, 2014 - October 7, 2014

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

TRABUCO CANYON, CA

Past

March 10, 2011 - August 8, 2014

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

July 9, 2009 - March 9, 2011

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

CHICAGO, IL

Past

July 9, 2009 - March 9, 2011

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

February 17, 2009 - May 1, 2009

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

CHICAGO, IL

Past

September 26, 2007 - February 5, 2009

E*TRADE SECURITIES LLC

CRD#: 29106

CHICAGO, IL

Past

November 29, 2006 - October 8, 2007

TRADESTATION SECURITIES, INC.

CRD#: 39473

CHICAGO, IL

Past

October 14, 2005 - January 17, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SANTA ANA, CA

Past

September 2, 2005 - January 17, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 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.

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
(10/2/2014)

IAR

Illinois
(11/3/2014)

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 65

Date: 11/3/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/15/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/22/2007

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 9/22/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/1/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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Contact information

Main Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Mailing Address

Phone number

(630) 765-8000

Established

Firm type

Fiscal year end

# of Employees

520

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FTA FORM ADV PART 2A BROCHURE - 03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,033
AUM (Assets Under Management)	$ 256,328,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Bradley H. Seberhagen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradley H Seberhagen's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

PATRICK CAPITAL MARKETS, LLC

DWS DISTRIBUTORS, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

VALIC FINANCIAL ADVISORS, INC.

E*TRADE SECURITIES LLC

TRADESTATION SECURITIES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 65

Date: 11/3/2014

Series 66

Date: 9/15/2005

SIE

Date: 10/1/2018

Series 3

Date: 6/22/2007

Series 31

Date: 9/22/2005

Series 7

Date: 9/1/2005

FINRA

Current Firm

FIRST TRUST ADVISORS LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST TRUST ADVISORS LP

TRUST BUT VERIFY

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