Broc J. Stradley

WESTPOINT WEALTH MANAGEMENT

Utica, OH 43080

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CRD#: 6648047

Professional summary

Broc Jacob Stradley, who also goes by Broc Stradley, is a registered financial advisor currently at WESTPOINT WEALTH MANAGEMENT, LLC located in Utica, Ohio.

Broc is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Broc has worked at 4 firms and has passed the Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Broc Stradley

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.

AS A LICENSED INSURANCE AGENT, I AM APPOINTED WITH VARIOUS INSURANCE COMPANIES. DBA - TRIPHASE: PLANNING INVESTMENTS & INSURANCE TRIPHASE: PLANNING INVESTMENTS & INSURANCE INVESTMENT RELATED: YES, 42 S MAIN STREET, DBA FOR : ADVISORY SERVICES OFFERED THROUGH WESTPOINT WEALTH MANAGEMENT, LLC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Broc Jacob Stradley'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®

None

Experience

Current

November 27, 2020 - Present

WESTPOINT WEALTH MANAGEMENT, LLC

Office #1: 42 S Main Street, Utica, OH 43080

RIA

CRD#: 310883

Utica, OH

Past

June 20, 2019 - November 30, 2020

SPC

RIA

CRD#: 110692

Utica, OH

Past

June 18, 2019 - November 30, 2020

PARKLAND SECURITIES, LLC

CRD#: 115368

Utica, OH

Past

October 24, 2018 - May 16, 2019

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

CINCINNATI, OH

Past

September 28, 2018 - May 16, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

CINCINNATI, OH

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.

Highlighted states indicate IAR registrations

IAR

Ohio
(11/27/2020)

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.

Exams

General Industry/Product Exam

Series 6TO

Date: 10/17/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/28/2018

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WESTPOINT WEALTH MANAGEMENT, LLC

NOE FINANCIAL SERVICES, INC. | WESTPOINT WEALTH MANAGEMENT, LLC | TRIPHASE: PLANNING, INVESTMENTS & INSURANCE

CRD#: 310883 / SEC#:

Florida

Registered Investment Advisory firm - (7/14/2022 Approved)

Ohio

Registered Investment Advisory firm - (10/14/2020 Approved)

South Carolina

Registered Investment Advisory firm - (4/10/2024 Approved)

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Contact information

Main Address

66 Front St, Berea, OH 44017

Mailing Address

Phone number

(866) 640-7908

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	948
AUM (Assets Under Management)	$ 89,322,684

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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Firm Stability Insights

Broc J. Stradley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Broc Jacob Stradley's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTPOINT WEALTH MANAGEMENT, LLC

SPC

PARKLAND SECURITIES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 6TO

Date: 10/17/2022

SIE

Date: 10/1/2018

Series 6

Date: 9/28/2018

Current Firm

WESTPOINT WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WESTPOINT WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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