Bradley Swain
Bradley Swain is a registered investment advisor at Wedbush Securities INC., based in San Diego, CA, with 31 years of industry experience. Bradley is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, High Net Worth, Insurance Planning, Investment Management, and 1 more. Their firm serves 10,048 clients with $5.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 3.00% |
| $250K - $500K | 2.80% |
| $500K - $1.0M | 2.50% |
| $1.0M - $3.0M | 1.90% |
| $3.0M - $5.0M | 1.60% |
| $5M+ | 1.60% |
Fees for accounts over $5,000,000 are negotiable. Accounts are subject to minimum annual fees ranging from $250 to $1,000 depending on the program.
Fee Estimator
Location
401 West A Street, Suite 1800, San Diego, CA, 92101
Get directionsHistory
Regulatory History (3)
Judgment / Lien
January 2020Customer Dispute
February 2012Customer Dispute
January 2010Other Business Activities
Bradley works for Kelly-Pitchkolan Wealth Management Group, a DBA for Wedbush Securities, focusing on customer relations as a broker associate. This investment-related activity takes up a full-time commitment for Bradley.
Employment History
Current Registrations
Wedbush Securities INC.
Wedbush Securities INC.Broker
Previous Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations5 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
More Advisors
- Timothy CantyWedbush Securities INC.
- David HironsWedbush Securities INC.
- Diane Bienke, CFPJ.P. Morgan Securities LLC
- Carter Watson, CFA, CFPFelspar Financial
- Gabriel Adams, CFPCreative Planning
- Matthew Luckham, CFPLPL Financial LLC