Alan Bradley has been an investment adviser representative at RWM Capital since March 2025, and is not listed among the firm’s executive officers or direct owners.
RWM Capital, LLC is a Sugar Land, TX firm with $222M under management, 1,439 clients and 21 advisers across 8 offices, as of its August 2026 filing.
Alan Bradley’s longest registration was 3 years at Advice and Planning Services (2016–2019). Before joining RWM Capital in 2025, Alan Bradley was registered through Prudential Financial Planning Services and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- Prudential Financial Planning Services– · 3 yearsNewark, NJ · Adviser representative · Firm CRD 5685
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 1 yearMobile, AL · Adviser representative · Firm CRD 7691
- Advice and Planning Services– · 3 yearsAtlanta, GA · Adviser representative · Firm CRD 20472
Investment adviser representative registrations
Alan Bradley is registered as an investment adviser representative in Alabama, since March 2025.
- AlabamaSince 5 March 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 21 January 2016 |
| Series 7 | General Securities Representative Examination | 4 January 2016 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 September 2006 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 18 September 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Alan Gregory Bradley
- CRD
- 5193839
- Firm
- RWM Capital · CRD 310635
- Office
- 9808 Millwood Circle, Suite A, Daphne, AL 36527
- Registration
- Investment adviser registration
- In the industry since
- October 2007
- Disciplinary history
- Not yet shown here · SEC record
Where does Alan Bradley work?
Alan Bradley is an investment adviser representative registered through RWM Capital, LLC since March 2025, and is not listed among the firm’s executive officers or direct owners.
Is Alan Bradley a financial advisor?
Yes. Alan Bradley has a current investment-adviser registration in Alabama, through RWM Capital since March 2025.
How many years of experience does Alan Bradley have?
Alan Bradley has 19 years in the financial industry, since October 2007, across 4 adviser firms.
What exams has Alan Bradley passed?
Alan Bradley has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in September 2006. FINRA credited Alan Bradley with the SIE, which began in October 2018.
Where did Alan Bradley work before RWM Capital?
Before RWM Capital, Alan Bradley was registered through Prudential Financial Planning Services, September 2021 to December 2024; Merrill Lynch, Pierce, Fenner & Smith Incorporated, October 2019 to August 2021; Advice and Planning Services, January 2016 to September 2019.
Where is Alan Bradley based?
Alan Bradley’s registered office is in Daphne, AL.
Is Alan Bradley registered with FINRA?
No. Alan Bradley has no current broker registration.
How can I verify Alan Bradley’s record?
Search CRD 5193839 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Alan Bradley’s full registration record.