Individual Firm
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Bradford L Waltz
BRAD WALTZ, BRADFORD LEE WALTZ
CRD#: 2454549
IA
B
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 8332 WOODFIELD CROSSING BLVD
INDIANAPOLIS, IN 46240-2482
INDIANAPOLIS, IN 46240-2482
CHARLES SCHWAB & CO., INC.CRD#: 5393 8332 Woodfield Crossing Blvd
Indianapolis, IN 46240-2482
Indianapolis, IN 46240-2482
View By:
7/2/2009
Customer Dispute
Denied
State Registrations
B
Alabama 5/9/2002
B
Michigan 2/1/2012
B
Arizona 7/30/2019
B
Minnesota 2/7/2024
B
California 3/16/1998
B
Missouri 7/15/2024
B
Connecticut 5/10/2011
B
New Jersey 3/8/2019
B
District of Columbia 7/15/2024
B
New York 1/9/2008
B
Florida 3/17/1998
B
North Carolina 8/3/2004
B
Georgia 3/16/1998
B
Ohio 1/4/2002
B
Illinois 11/13/2018
B
Pennsylvania 4/1/2015
B
Indiana 2/11/1998
B
South Carolina 5/9/2002
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Indiana 1/3/2012
B
Tennessee 3/19/2008
B
Iowa 2/7/2024
B
Texas 1/5/2004
B
Kentucky 10/30/2017
IA
Texas 1/10/2021
B
Louisiana 1/27/2015
B
Virginia 3/17/1998
B
Maryland 7/15/2024
B
Washington 5/9/2011
B
Massachusetts 5/7/2009
SRO Registrations
B
B
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Registered with this firm since 1/3/2012
B
Registered with this firm since 2/11/1998
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/05/2003 - 12/31/2011 | INDIANAPOLIS, IN | |
B | 04/10/1996 - 12/13/1997 | MINNEAPOLIS, MN | |
B | 09/07/1994 - 02/22/1996 | ST. LOUIS, MO | |
B | 02/23/1994 - 05/10/1994 | HACKENSACK, NJ |
HACKENSACK, NJ
02/23/1994 - 05/10/1994
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.