BR
Bradley L. Rozema
THURSTON SPRINGER ADVISORS
Indianapolis, IN 46240
Some features on this profile are disabled
CRD#: 703960
BR
Professional summary
Bradley Louis Rozema, who also goes by Bradley L Rozema, is a registered financial advisor currently at THURSTON SPRINGER ADVISORS located in Indianapolis, Indiana and THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. located in Franklin, Indiana.
Bradley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Bradley has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bradley L Rozema
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 Bradley Louis Rozema'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 27, 2020 - Present
THURSTON SPRINGER ADVISORS
Office #1: 9000 Keystone Crossing Seventh Floor, Indianapolis, IN 46240RIA
CRD#: 299201
Indianapolis, IN
Current
August 25, 2014 - Present
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
Office #1: 70 W. Madison, Franklin, IN 46131BD
CRD#: 8478
Franklin, IN
Past
August 27, 2014 - July 6, 2021
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
RIA
CRD#: 8478
INDIANAPOLIS, IN
Past
March 4, 2009 - August 21, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
INDIANAPOLIS, IN
Past
February 20, 2009 - August 21, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
INDIANAPOLIS, IN
Past
December 15, 1998 - February 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
INDIANAPOLIS, IN
Past
January 19, 1980 - February 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
INDIANAPOLIS, 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".
TS
THURSTON SPRINGER ADVISORS
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THURSTON SPRINGER ADVISORS, LLC | THURSTON SPRINGER ADVISORS | THORSON TAX & FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | T.S. PHILLIPS | SPRAWLS FINANCIAL | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | NORTH STAR FINANCIAL | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | J. SIMON & COMPANY | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | HOLCOMB WEALTH MANAGEMENT | FRATARCANGELI WEALTH MANAGEMENT | DAMER WEALTH MANAGEMENT | CONSERVATION WEALTH MANAGEMENT | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BALDASSARI ADVISORY | ASCEND WEALTH | AP CAPITAL MANAGEMENT | AMERICAN PENSION ADVISORS | ALPHA POINTE CAPITAL
CRD#: 299201 / SEC#: 801-114256
RIA
Registered Investment Advisory firm - (11/2/2018 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
Arkansas(9/8/2014)
RR
California(8/25/2014)
RR
Florida(11/3/2025)
RR
Georgia(4/10/2017)
RR
Illinois(8/25/2014)
RR
Indiana(8/26/2014)
IAR
Indiana(8/27/2020)
RR
Michigan(6/13/2017)
RR
Minnesota(3/15/2016)
RR
Montana(9/26/2014)
RR
Nevada(12/22/2020)
RR
North Carolina(9/11/2014)
RR
Ohio(4/7/2017)
RR
Pennsylvania(4/10/2017)
RR
South Carolina(3/22/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TS
THURSTON SPRINGER ADVISORS
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THURSTON SPRINGER ADVISORS, LLC | THURSTON SPRINGER ADVISORS | THORSON TAX & FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | T.S. PHILLIPS | SPRAWLS FINANCIAL | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | NORTH STAR FINANCIAL | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | J. SIMON & COMPANY | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | HOLCOMB WEALTH MANAGEMENT | FRATARCANGELI WEALTH MANAGEMENT | DAMER WEALTH MANAGEMENT | CONSERVATION WEALTH MANAGEMENT | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BALDASSARI ADVISORY | ASCEND WEALTH | AP CAPITAL MANAGEMENT | AMERICAN PENSION ADVISORS | ALPHA POINTE CAPITAL
CRD#: 299201 / SEC#: 801-114256
RIA
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Contact information
Main Address
9000 Keystone Crossing Seventh Floor, Indianapolis, IN 46240
Mailing Address
Phone number
(317) 581-4000
Established
Firm type
Fiscal year end
# of Employees
93
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,759 |
| AUM (Assets Under Management) | $ 3,675,305,852 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/21/2025 | ||
| 02/28/2024 |
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.
