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Bradley Louis Rozema

Thurston Springer Advisors

Indianapolis, IN

CRD 703960

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Employer firm

Thurston Springer Advisors CRD 299201

$3.68B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Thurston Springer Advisors

9000 Keystone Crossing Seventh Floor, Indianapolis, IN 46240 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2020-08-27
  • IN RA
    APPROVED
    Since 2020-08-27

Branch Locations

9000 Keystone Crossing Seventh Floor, Indianapolis, IN 46240 • United States

Disclosures

3 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Thurston Springer Miller Herd & Titak,Inc. Indianapolis IN 08/2014 Present
  • 08/2014 → Present
    Thurston Springer Miller Herd & Titak,Inc.
    Indianapolis, IN
Previous Registrations
Other Businesses

TWO RENTAL PROPERTIES, INV RELATED, MARTINSVILLE, IN, 100% OWNER, START: 1956, 1 HOUR PER MONTH/0 DURING TRADING, DUTIES: NONE. Rozema Group, LLC., Real Estate Holding Company, Managing Partner, no involvement during market hours, three hours, per month.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1980-01-31
  • S63 Uniform Securities Agent State Law Examination
    1980-01-31
Other Names
  • Bradley L Rozema

View on SEC IAPD

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