Bradley Wayne Small

Current Employers

Oneascent Financial Services Llc

100 Grandview Place Suite 200, Birmingham, AL 35243 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2024-12-03

MA RA
APPROVED

Since 2024-12-03

Branch Locations

100 Cummings Center Suite 207P #234, Beverly, MA 01915 • United States

100 Grandview Place Suite 200, Birmingham, AL 35243 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Triad Advisors, Inc.	Norcross	GA	07/2020	08/2022
Pinnacle Private Wealth, Llc	Woburn	MA	06/2020	08/2022
Purshe Kaplan Sterling Investments, Inc.	Albany	NY	08/2022	Present
Thrivent Advisor Network D/B/A Solomon Private Wealth	Beverly	MA	08/2022	12/2024
Wells Fargo Advisors	Beverly	MA	02/2009	06/2020
Oneascent Financial Services, Llc	Birmingham	AL	11/2024	Present

07/2020 → 08/2022

Triad Advisors, Inc.

Norcross, GA
06/2020 → 08/2022

Pinnacle Private Wealth, Llc

Woburn, MA
08/2022 → Present

Purshe Kaplan Sterling Investments, Inc.

Albany, NY
08/2022 → 12/2024

Thrivent Advisor Network D/B/A Solomon Private Wealth

Beverly, MA
02/2009 → 06/2020

Wells Fargo Advisors

Beverly, MA
11/2024 → Present

Oneascent Financial Services, Llc

Birmingham, AL

Previous Registrations

2022-09-13 → 2024-12-31

Thrivent Advisor Network, Llc

Minneapolis, MN

Beverly, MA

Beverly, MA
2020-07-09 → 2022-09-08

Pinnacle Private Wealth, Llc

Burlington, MA
2014-06-23 → 2020-07-06

Wells Fargo Clearing Services, Llc

Beverly, MA

Beverly, MA

Boston, MA

Boston, MA

Other Businesses

1. One Ascent Financial Services dba Solomon Private Wealth. Investment Related. At Registered Location. RIA. IAR. Start Date: 11/30/2024. 160 hrs/ month; all during trading hours. Provide Advice to clients 2. Fixed Insurance. Investment Related. At Registered Location. Fixed/ Traditional Insurance. Agent. Start Date: 8/30/2022. 5 hrs/ month; all during trading hours. Sell Fixed Insurance products through multiple carriers 3. North Shore chamber of Commerce; Not investment related; 5 Cherry Hill Dr., Danvers, MA 01923; non-profit Chamber of Commerce; volunteer Board member; 01/01/2015 7. 2-3 hrs/mo 8, 0 hrs during trading; Volunteer board; no compensation 4. Solomon Fund; Not investment related; See office of employment address; non-profit - charity car shows; Founder; 01/01/2022; 2-3 hrs/mo 8, 0 hrs during trading; Organize charity car show with my son; No compensation - volunteer - all funds go to charity after expenses 5. Amirah Inc. Start date 12/1/2024. Not investment related. Volunteer position on volunteer board in July 2024. 6. Fisher Fuel and Society. Not investment related. Volunteer position on the organization board beginning November 2024. 7. Smith Companies. Investment related. Insurance Agent -- $1,000. 8. Beverly Sailing Association -- Volunteer Board Member -- 1/1/2026 -- not compensated

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-07-29
S63	Uniform Securities Agent State Law Examination	1996-07-22

S65 Uniform Investment Adviser Law Examination

1996-07-29
S63 Uniform Securities Agent State Law Examination

1996-07-22

Other Names

Bradley W Small
Brad W Small
Brad Small

View on SEC IAPD