Role at Mission Wealth#
- Title on Schedule A
- Co-Founder / CCO / CFO
- Title the firm uses
- Co-Founder, Chief Financial Officer and Chief Compliance Officer
- Control
- Schedule A reports Brad Stark as a control person.
- Ownership
- Schedule A reports a direct ownership band under 5%. Schedule B reports the 50% to 75% band in both The Stark Revocable Trust of 2000 and Mission Wealth Management LLC.
- Tenure
- Schedule A reports the officer role since February 2000. Schedule B reports the trustee and managing-member interests since February 2000.
The firm
Mission Wealth Management, LP$17.00B regulatory AUM · 135 advisory staff · 116 officesFirm profileTitle and ownership as reported on Schedules A and B of the firm's Form ADV. Ownership percentages are the SEC's reporting bands, not exact figures. View Schedule A in the filing
Career on record#
- MISSION WEALTH MANAGEMENT, LP11 January 2013 to presentSanta Barbara, CA · 14 years · adviser representative only · firm CRD 113057
- NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)10 February 2000 to 24 September 2013Santa Barbara, CA · 14 years · adviser representative only · firm CRD 29604
Investment-adviser employment history in the IAPD record, newest first. The experience figure uses IAPD's calculation date of 9 February 2000, which may differ from the earliest registration below. View the IAPD record
Registrations and exams#
| State | Scope | Status | Since |
|---|---|---|---|
| California | Investment adviser representative | Approved | 11 January 2013 |
| Illinois | Investment adviser representative | Approved | 13 May 2019 |
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 30 October 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 15 January 1993 |
| Series 7 | General Securities Representative Examination | 24 June 1996 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 15 January 1993 |
| Series 24 | General Securities Principal Examination | 7 May 1999 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- General Securities Principal Examination
State adviser registrations currently approved, and the qualifying examinations on record. View the IAPD record
Regulatory record#
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one.
Where to check this individual's complete record, including any disciplinary history. View the IAPD record
Background#
Mission Wealth's team page states that Brad brings over 30 years of financial industry experience, co-founded the firm in March 2000, and oversees strategic direction, investment oversight and compliance culture, serving on the firm's Leadership Team, Investment Committee and Board. The page also lists him as an adjunct professor of finance at the MVS School of Business and Economics at CSU Channel Islands from 2008 to 2012 and as a board member of the Adizes Institute. Mission Wealth, team page
Education
- B.A. in Business Economics, University of California, Santa BarbaraMission Wealth, team page
- M.S. in Financial Planning, College for Financial PlanningMission Wealth, team page
Credentials and memberships
- CERTIFIED FINANCIAL PLANNER (CFP)Mission Wealth, team page
- California insurance license #0B09374Mission Wealth, team page
Background statements are attributed to the named source. Firm biographies are not regulatory records.
Common questions#
Is Brad Stark a broker or an investment adviser?
An investment adviser representative only. His record shows adviser-only registration through both of his firms and no current FINRA broker registration, although he passed the Series 7 in 1996 and the Series 24 in 1999.
Where is Brad Stark registered?
As an investment adviser representative in California, approved since January 2013, and in Illinois, approved since May 2019. Neither registration is marked resident on his record.
Does Brad Stark own part of Mission Wealth?
Schedule A reports Brad Stark as a control person. Schedule A reports a direct ownership band under 5%. Schedule B reports the 50% to 75% band in both The Stark Revocable Trust of 2000 and Mission Wealth Management LLC. Schedule A reports the officer role since February 2000. Schedule B reports the trustee and managing-member interests since February 2000.
Where did Brad Stark work before Mission Wealth?
His SEC record shows registration through National Planning Corporation in Santa Barbara from February 2000 to September 2013, overlapping the start of his registration through Mission Wealth Management, LP in January 2013.
Answered from the records above.
Leadership at Mission Wealth#
Matthew William AdamsManaging Partner / Chief Executive OfficerCRD 4570280
Dannell Rice StuartPresident / PartnerCRD 2808288
Kieran David OsborneChief Investment Officer / PartnerCRD 5667529
Brian Gerald SottakPartner / Senior Managing DirectorCRD 5701635
The other officers and owners named on the firm's Schedule A.