KB
Karesse R. Bradley
CAPITAL CLIENT GROUP
San Antonio, TX
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CRD#: 6486892
KB
Karesse Renay BradleyCAPITAL CLIENT GROUP
Professional summary
Karesse Renay Bradley, who also goes by Karesse Renay Bradley, Karesse Bradley, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in San Antonio, Texas and LPL ENTERPRISE, LLC located in Houston, Texas.
Karesse is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Karesse has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
Aliases
Karesse Renay Bradley | Karesse Bradley
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. 7/31/2026 - The (k) Advisor - DBA for LPL Business (entity for LPL business) - INV REL - San Antonio TX - OBA Start date: 08/03/2026 - 200 Hour(s)/Month – 160 Hour(s) During Trading 2. 7/31/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - San Antonio TX - OBA Start date: 06/30/2026 - 160 Hour(s)/Month – 160 Hour(s) During Trading 3. 7/31/2026 - KARESSE BRADLEY N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - San Antonio TX - OBA Start date: 06/30/2026 - 160 Hour(s)/Month – 160 Hour(s) During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Karesse Renay Bradley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karesse Renay Bradley'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
January 21, 2025 - Present
CAPITAL CLIENT GROUP, INC.
Office #2: 3500 Wiseman Blvd, San Antonio, TX 78251-4321RIA
BD
CRD#: 6247
San Antonio, TX
Current
August 4, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 1233 West Loop South Suite 1100, Houston, TX 77027RIA
BD
CRD#: 8733
HOUSTON, TX
Current
January 21, 2025 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 3500 Wiseman Blvd, San Antonio, TX 78251-4321RIA
BD
CRD#: 6247
SAN ANTONIO, TX
Current
August 4, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 1233 West Loop South Suite 1100, Houston, TX 77027RIA
BD
CRD#: 8733
HOUSTON, TX
Past
August 13, 2024 - January 8, 2025
BOK FINANCIAL SECURITIES, INC.
RIA
CRD#: 17530
Oklahoma City, OK
Past
August 12, 2024 - January 8, 2025
BOK FINANCIAL SECURITIES, INC.
BD
CRD#: 17530
Oklahoma City, OK
Past
November 2, 2021 - September 22, 2023
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
Charlotte, NC
Past
September 29, 2021 - September 22, 2023
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
CHARLOTTE, NC
Past
April 1, 2021 - August 4, 2021
NYLIFE SECURITIES LLC
BD
CRD#: 5167
CARMEL, IN
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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
California(2/5/2025)
RR
Texas(1/21/2025)
IAR
Texas(1/21/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/15/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 4/1/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
