DB
David E. Bragman
SEQUOIA WEALTH MANAGEMENT
Chicago, IL 60642
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CRD#: 5958698
DB
Professional summary
David Eric Bragman is a registered financial advisor currently at SEQUOIA WEALTH MANAGEMENT, LLC located in Chicago, Illinois and LPL FINANCIAL LLC located in Atlanta, Georgia.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. David has worked at 5 firms and has passed the Series 65, 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.
(1) 07/01/2016: DEB FINANCIAL - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 100% Time Spent (2) 09/06/2016: Sequoia Wealth Management - Registered Investment Advisor Hybrid - DBA: (Hybrid) Sequoia Wealth Management - Investment Related - 2500 W. Higgins Rd., Suite #360, Hoffman Estates, IL 60169-7207 - 100% Time Spent - IAR. (3) 5/15/2018 - No Business Name - Investment Related - 2500 W Higgins Rd #360, Hoffman Estates, IL 60169 - Non-Variable Insurance - Started 01/16/2018 - 15 Hours Per Month/10 Hours During Securities Trading. 4) LPL FINANCIAL BROKER DEALER REGISTERED REP SINCE 07/2016 INVESTMENT RELATED 5) INSURANCE LICESENED - LIFE AND HEALTH
CRS (Client Relationship Summary) - RIA
Click below to view David Eric Bragman'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®
NoneExperience
Current
August 26, 2016 - Present
SEQUOIA WEALTH MANAGEMENT, LLC
Office #1: 1332 N. Halsted #301, Chicago, IL 60642RIA
CRD#: 170543
Chicago, IL
Current
July 1, 2016 - Present
LPL FINANCIAL LLC
RIA
BD
CRD#: 6413
ATLANTA, GA
Past
July 17, 2013 - July 9, 2016
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
BD
CRD#: 8494
ST. PETERSBURG, FL
Past
June 28, 2012 - June 7, 2013
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
CHICAGO, IL
Past
June 28, 2012 - June 7, 2013
CRI SECURITIES, LLC
RIA
CRD#: 22589
CHICAGO, IL
Past
November 5, 2011 - June 7, 2013
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
CHICAGO, IL
Past
November 5, 2011 - June 7, 2013
CRI SECURITIES, LLC
BD
CRD#: 22589
CHICAGO, IL
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".
SW
SEQUOIA WEALTH MANAGEMENT, LLC
ADVANTAGE FINANCIAL SERVICES GROUP | SEQUOIA WEALTH MANAGEMENT, LLC | SEQUOIA WEALTH MANAGEMENT | SEQUOIA FINANCIAL PLANNING | REGENCY WEALTH MANAGEMENT | PLANSMART FINANCIAL SERVICES | PEGASUS WEALTH STRATEGIES | ODE FINANCIAL SERVICES | MOONEY LYONS FINANCIAL SERVICES | MOONEY LYONS | JPV FINANCIAL | JMC WEALTH MANAGEMENT | IRONWOOD FAMILY WEALTH ADVISORS | DEB FINANCIAL | CPM FINANCIAL SERVICES | ANDERSON INVESTMENT CONSULTING & SERVICES | AMBASSADOR CONSULTING AND WEALTH MANAGEMENT
CRD#: 170543 / SEC#: 801-80362
RIA
Registered Investment Advisory firm - (10/1/2014 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.RR
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
RR
Georgia(7/22/2019)
IAR
Georgia(4/7/2020)
RR
Illinois(7/1/2016)
IAR
Illinois(8/26/2016)
RR
Texas(5/14/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SEQUOIA WEALTH MANAGEMENT, LLC
ADVANTAGE FINANCIAL SERVICES GROUP | SEQUOIA WEALTH MANAGEMENT, LLC | SEQUOIA WEALTH MANAGEMENT | SEQUOIA FINANCIAL PLANNING | REGENCY WEALTH MANAGEMENT | PLANSMART FINANCIAL SERVICES | PEGASUS WEALTH STRATEGIES | ODE FINANCIAL SERVICES | MOONEY LYONS FINANCIAL SERVICES | MOONEY LYONS | JPV FINANCIAL | JMC WEALTH MANAGEMENT | IRONWOOD FAMILY WEALTH ADVISORS | DEB FINANCIAL | CPM FINANCIAL SERVICES | ANDERSON INVESTMENT CONSULTING & SERVICES | AMBASSADOR CONSULTING AND WEALTH MANAGEMENT
CRD#: 170543 / SEC#: 801-80362
RIA
Registered Investment Advisory firm - (10/1/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
200 Applebee St Suite 208, Barrington, IL 60010
Mailing Address
Phone number
(847) 310-5900
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,698 |
| AUM (Assets Under Management) | $ 514,331,206 |
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.
