BL
Brayden J. Little
ADVISORS CAPITAL MANAGEMENT
San Jose, CA
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CRD#: 6784046
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Professional summary
Brayden James Little, AIF®, CFP®, who also goes by Brayden J Little, is a registered financial advisor currently at ADVISORS CAPITAL MANAGEMENT, LLC located in San Jose, California.
Brayden is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Brayden has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brayden J Little
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.
CRS (Client Relationship Summary) - RIA
Click below to view Brayden James Little'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®
Experience
Current
April 4, 2022 - Present
ADVISORS CAPITAL MANAGEMENT, LLC
RIA
CRD#: 112266
San Jose, CA
Past
August 23, 2019 - April 6, 2022
OSAIC WEALTH, INC.
RIA
CRD#: 23131
REDWOOD CITY, CA
Past
April 16, 2019 - April 6, 2022
OSAIC WEALTH, INC.
BD
CRD#: 23131
REDWOOD CITY, CA
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".
AC
ADVISORS CAPITAL MANAGEMENT, LLC
ACM WEALTH | FOREFRONT WEALTH PLANNING AND ASSET MANAGEMENT | BRIDGEVIEW WEALTH | ADVISORS FINANCIAL CENTER, L.L.C. | ADVISORS CAPITAL MANAGMENT, LLC | ADVISORS CAPITAL MANAGEMENT, LLC
CRD#: 112266 / SEC#: 801-62058
RIA
Registered Investment Advisory firm - (5/16/2003 Approved)Connecticut
Registered Investment Advisory firm - (6/24/2003 Terminated)Florida
Registered Investment Advisory firm - (12/31/2002 Failure to Renew)Kentucky
Registered Investment Advisory firm - (6/16/2003 Terminated)New Jersey
Registered Investment Advisory firm - (6/18/2003 Terminated)New York
Registered Investment Advisory firm - (6/18/2003 Terminated)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
California(4/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/16/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
AC
ADVISORS CAPITAL MANAGEMENT, LLC
ACM WEALTH | FOREFRONT WEALTH PLANNING AND ASSET MANAGEMENT | BRIDGEVIEW WEALTH | ADVISORS FINANCIAL CENTER, L.L.C. | ADVISORS CAPITAL MANAGMENT, LLC | ADVISORS CAPITAL MANAGEMENT, LLC
CRD#: 112266 / SEC#: 801-62058
RIA
Registered Investment Advisory firm - (5/16/2003 Approved)Connecticut
Registered Investment Advisory firm - (6/24/2003 Terminated)Florida
Registered Investment Advisory firm - (12/31/2002 Failure to Renew)Kentucky
Registered Investment Advisory firm - (6/16/2003 Terminated)New Jersey
Registered Investment Advisory firm - (6/18/2003 Terminated)New York
Registered Investment Advisory firm - (6/18/2003 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10 Wilsey Square Suite 200, Ridgewood, NJ 07450
Mailing Address
Phone number
(201) 447-3400
Established
Firm type
Fiscal year end
# of Employees
87
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,670 |
| AUM (Assets Under Management) | $ 9,470,063,452 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
