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BB

Brandon R. Bastuba

Some features on this profile are disabled
CRD#: 5343282
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.

Brandon Robert Bastuba, CFP®, who also goes by Brandon Bastuba, was a registered financial professional .

Brandon is a previously registered financial professional and started their career in finance in 2007. Brandon had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brandon Bastuba

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.

Blog Corner

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®
CFP®

Certified Financial Planner

Experience

Past

August 15, 2025 - April 17, 2026

THE PACIFIC FINANCIAL GROUP, INC.

RIA
CRD#: 105203
Huntersville, NC
Past

November 23, 2021 - September 1, 2022

ORION PORTFOLIO SOLUTIONS, LLC

RIA
CRD#: 125446
Charlotte, NC
Past

November 18, 2021 - September 1, 2022

BRINKER CAPITAL SECURITIES, LLC

BD
CRD#: 38123
BERWYN, PA
Past

January 6, 2020 - November 15, 2021

ASSETMARK, INC.

RIA
CRD#: 109018
Charlotte, NC
Past

August 15, 2014 - November 15, 2021

ASSETMARK BROKERAGE, LLC

BD
CRD#: 169804
Chicago, IL
Past

December 3, 2013 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

July 9, 2010 - January 3, 2020

ASSETMARK, INC.

RIA
CRD#: 109018
Charlotte, NC
Past

July 9, 2010 - November 11, 2013

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

July 23, 2009 - June 3, 2010

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
TROY, MI
Past

September 25, 2007 - June 3, 2010

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
TROY, MI

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".
TP
THE PACIFIC FINANCIAL GROUP, INC.
GOLD STAR FINANCIAL | THE PACIFIC FINANCIAL GROUP, INC. | THE PACIFIC FINANCIAL GROUP | SERVE AND PROTECT FINANCIAL | PACIFIC FINANCIAL GROUP INC

CRD#: 105203 / SEC#: 801-18151

RIA
Registered Investment Advisory firm - (1/10/1983 Approved)

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
RR
IAR
Series 66
Date: 8/29/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/2007
General Securities Representative Examination

Current Firm

TP
THE PACIFIC FINANCIAL GROUP, INC.
GOLD STAR FINANCIAL | THE PACIFIC FINANCIAL GROUP, INC. | THE PACIFIC FINANCIAL GROUP | SERVE AND PROTECT FINANCIAL | PACIFIC FINANCIAL GROUP INC

CRD#: 105203 / SEC#: 801-18151

RIA
Registered Investment Advisory firm - (1/10/1983 Approved)
PREMIUM
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Contact information

Main Address
1920 Adelicia Street Suite 500, Nashville, TN 37212
Mailing Address
900 20th Avenue South Suite 500, Nashville, TN 37212
Phone number
(425) 451-7722
Established
Firm type
Fiscal year end
# of Employees
66

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TPFG.ADV 2A & 2B.FINAL.02.04.26 (2/4/2026)

Regulatory assets under management

Total Number of Accounts18,959
AUM (Assets Under Management)$ 4,111,414,788

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.

Company Information

THE PACIFIC FINANCIAL GROUP, INC.

CRD#: 105203

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