Bradley Rozema
Bradley Rozema is a registered investment advisor at Thurston Springer Advisors, based in Indianapolis, IN, with 46 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 Estate Planning, High Net Worth, Investment Management, Retirement Planning. Their firm serves 4,694 clients with $6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Thurston Springer Advisors charges fees based on a percentage of the assets they manage for you, with annual rates ranging from 0.25% to 2.50%. The exact rate depends on the specific advisory program, the scope of services provided, the size of your portfolio, and what you negotiate with your investment advisor representative.
- Fees are typically billed quarterly, either in advance or in arrears depending on the specific program and custodian you use.
- Some programs may also involve transaction charges for individual trades, while others operate under a bundled fee structure that covers standard trading costs.
- Additional custodial charges, such as wire fees or maintenance fees, may apply depending on your account activity and program.
Location
9000 Keystone Crossing, Seventh Floor, Indianapolis, IN, 46240
Get directionsHistory
Regulatory History (4)
Regulatory
October 2015Employment Separation After Allegations
August 2014Customer Dispute
October 2013Customer Dispute
October 1998Other Business Activities
Bradley owns two rental properties and is a managing partner in Rozema Group, LLC, a real estate holding company. These activities require minimal time commitment.
Employment History
Current Registrations
Thurston Springer Advisors
Thurston, Springer, Miller, Herd & Titak, INC.Broker
Previous Registrations
Thurston Springer Financial
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations15 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
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