Bradley C. Weddon
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Bradley Carl Weddon was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1979. Bradley had worked at 12 firms and has passed the Series 65, Series 63, Series 31, Series 3, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2001 - December 20, 2006
SMART INVESTMENTS ADVISORY INCORPORATED
February 10, 2001 - March 21, 2002
INDEPENDENT FINANCIAL GROUP, LLC
January 2, 2001 - December 8, 2006
THE SEIDLER COMPANIES INCORPORATED
September 7, 2000 - December 31, 2012
STOCKBRIDGE FINANCIAL SERVICES, LLC
November 24, 1998 - January 2, 2001
INDEPENDENT FINANCIAL GROUP, LLC
April 4, 1996 - December 1, 1998
E*OFFERING
July 12, 1995 - April 10, 1996
H.J. MEYERS & CO., INC.
March 10, 1995 - July 13, 1995
TEXAS CAPITAL SECURITIES, INC.
March 16, 1994 - February 17, 1995
SECURITIES AMERICA, INC.
October 23, 1990 - March 2, 1994
ROTH CAPITAL PARTNERS, LLC
May 9, 1985 - October 31, 1990
PRUDENTIAL EQUITY GROUP, LLC
August 14, 1981 - May 14, 1985
MORGAN STANLEY DW INC.
January 2, 1979 - August 14, 1981
PRESCOTT, BALL & TURBEN, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 8
Date: 2/8/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SMART INVESTMENTS ADVISORY INCORPORATED
CRD#: 107778 / SEC#: 801-63265
Contact information
Regulatory assets under management
| Total Number of Accounts | 210 |
| AUM (Assets Under Management) | $ 82,000,000 |
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.
