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Bernard James Braudis

Soltis Investment Advisors, LLC

St. George, UT

Marshfield, MA

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Current Employers
Soltis Investment Advisors, Llc

20 North Main St Suite 400, St. George, UT 84770 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2022-02-03
  • MA RA
    APPROVED
    Since 2022-02-03

Branch Locations

20 North Main St Suite 400, St. George, UT 84770 • United States

Marshfield, MA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Soltis Investment Advisors Llc St George UT 11/2021 Present
Financial Technology Marshfield MA 09/2020 11/2021
Principal Street Partners Marshfield MA 02/2018 09/2020
Hj Sims Boston MA 04/2017 02/2018
Greenwich Investment Management, Inc. Marshfield MA 01/2014 04/2017
  • 11/2021 → Present
    Soltis Investment Advisors Llc
    St George, UT
  • 09/2020 → 11/2021
    Financial Technology
    Marshfield, MA
  • 02/2018 → 09/2020
    Principal Street Partners
    Marshfield, MA
  • 04/2017 → 02/2018
    Hj Sims
    Boston, MA
  • 01/2014 → 04/2017
    Greenwich Investment Management, Inc.
    Marshfield, MA
Previous Registrations
  • 2018-12-13 → 2019-12-17
    Green Square Capital Advisors
    Winchester, MA
  • 2017-04-21 → 2018-02-27
    Herbert J. Sims Capital Management, Inc.
    Boston, MA
    Fairfield, CT
  • 2014-04-28 → 2017-04-28
    Greenwich Investment Management, Inc.
    Marshfield, MA
    Norwalk, CT
  • 2012-08-13 → 2014-04-09
    Foss Mountain Capital, Llc
    Marshfield, MA
  • 2013-06-24 → 2013-12-31
    Capital Market Consultants, Inc.
    Marshfield, MA
    Las Cruces, NM
  • 2003-09-17 → 2004-09-02
    Columbia Management Advisors, Inc.
    Boston, MA
  • 2002-02-13 → 2002-07-01
    Banc Of America Securities Llc
    Boston, MA
Other Businesses

Fintech Consulting- Periodically consult Fintech companies on user experience, data integrations and potential enhancements.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-08-28
S66 Uniform Combined State Law Examination 2000-12-07
  • S63 Uniform Securities Agent State Law Examination
    2017-08-28
  • S66 Uniform Combined State Law Examination
    2000-12-07
Other Names
  • B J Braudis
  • Bernard James Braudis
  • Bernie Braudis
  • Bj Braudis
  • Bernard James Braudis

View on SEC IAPD

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CHARLES SCHWAB & CO., INC. · St. George, UT
LPL FINANCIAL LLC · ST GEORGE, UT
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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · St. George, UT
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Saint George, UT
WMX ADVISORS, LLC DBA WEALTH MANAGEMENT EXPERIENCE · SAINT GEORGE, UT
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