Bradley Yocum is a registered investment advisor, based in Erlanger, KY, with 14 years of industry experience.
Location
Erlanger, KY
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Current Registrations
Hartford Funds Distributors, LLCBroker
September 2023 - Present · 2 yrs 7 mos
Hartford Funds
September 2023 - Present · 2 yrs 7 mos
Hartford Funds Distributors, LLC
September 2023 - Present · 2 yrs 7 mos
Previous Registrations
S.B. Value Partners, L.P.
March 2023 - September 2023 · 6 mos
Advisors Asset Management, INC.Broker
April 2021 - March 2023 · 1 yr 11 mos
Advisors Asset Management, INC.
April 2021 - March 2023 · 1 yr 11 mos
Cornerstone Advisors Asset Management, LLC
March 2019 - April 2021 · 2 yrs 1 mo
M Holdings Securities, INC.Broker
March 2019 - March 2021 · 2 yrs
Nuveen Securities, LLCBroker
January 2015 - August 2018 · 3 yrs 7 mos
Nuveen Asset Management, LLC
January 2015 - August 2018 · 3 yrs 7 mos
Advisors Asset Management, INC.
February 2012 - January 2015 · 2 yrs 11 mos
Advisors Asset Management, INC.Broker
March 2011 - January 2015 · 3 yrs 10 mos
State Registrations4 states
INKYOHPA
AdvisorBrokerBoth
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
No exam information available for this advisor.