Bradley Alvarez has been Chief Compliance Officer of Aspirean Wealth since June 2021, is not listed as a control person, but directly owns between 10% and 25% of the firm.
Aspirean Wealth, LLC is a Mill Valley, CA firm with $233M under management, 165 clients and 6 advisers across 3 offices, as of its January 2026 filing.
Brad Alvarez is COO, CCO, Principal of Aspirean Wealth. Alvarez began his career in financial services in 2005, after six years in the US Navy's nuclear field. At Aspirean, Alvarez builds, implements and oversees the firm's internal systems, processes and compliance requirements, and supports advisors with portfolio design, research and client education.
Bradley Alvarez’s longest registration was 6 years at Securities America Advisors, Inc. (2015–2021). Before joining Aspirean Wealth in 2021, Bradley Alvarez was registered through Securities America Advisors, Inc.
- Aspirean Wealth, LLCCurrent– present · 5 yearsChesterton, IN · Adviser representative · Firm CRD 173138
- Securities America Advisors, Inc.– · 6 yearsChesterton, IN · Adviser representative · Firm CRD 110518
Investment adviser representative registrations
Bradley Alvarez is registered as an investment adviser representative in Indiana, since June 2021.
- IndianaSince 25 June 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 24 June 2013 |
| Series 7 | General Securities Representative Examination | 31 May 2013 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 7 September 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 2 September 2005 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 25 August 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Bradley Robert Alvarez
- CRD
- 4987816
- Firm
- Aspirean Wealth · CRD 173138
- Role
- Chief Compliance Officer
- Office
- 160 Rail Road, Suite 4, Chesterton, IN 46304
- Registration
- Investment adviser registration
- In the industry since
- February 2009
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- aspirean.com
Where does Bradley Alvarez work?
Bradley Alvarez has been Chief Compliance Officer of Aspirean Wealth, LLC since June 2021.
Is Bradley Alvarez a financial advisor?
Yes. Bradley Alvarez has a current investment-adviser registration in Indiana, through Aspirean Wealth since June 2021.
How many years of experience does Bradley Alvarez have?
Bradley Alvarez has 17 years in the financial industry, since February 2009, across 2 adviser firms.
What exams has Bradley Alvarez passed?
Bradley Alvarez has passed 5 licensing exams: the Series 6, Series 63, Series 26, Series 7 and Series 66. The earliest, the Series 6, was passed in August 2005. FINRA credited Bradley Alvarez with the SIE, which began in October 2018.
Where did Bradley Alvarez work before Aspirean Wealth?
Before Aspirean Wealth, Bradley Alvarez was registered through Securities America Advisors, Inc., April 2015 to June 2021.
Where is Bradley Alvarez based?
Bradley Alvarez’s registered office is in Chesterton, IN.
Is Bradley Alvarez registered with FINRA?
No. Bradley Alvarez has no current broker registration.
How can I verify Bradley Alvarez’s record?
Search CRD 4987816 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Bradley Alvarez’s full registration record.