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RIA / WealthAdvisor20 years in industry

SEAN BRADFORD

Advisor at SPEIRO INVESTMENTS, LLC

LAKESIDE, CA

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Search this name across graphsid dfx:ria:602cda9f-3c4c-d050-7828-6dae9f066644

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Sep 18, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SPEIRO INVESTMENTS, LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 15, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 15, 2006
First registration: Sep 18, 2006
Dual registered: no
Other names: SEAN MICHAEL BRADFORD|SEAN BRADFORD|SEAN M BRADFORD
IAPD individual key: 5175601

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SPEIRO INVESTMENTS, LLC	State registered	Jan 1, 2026	n/a	yes	LAKESIDE, CA	Current employment
PRIME CAPITAL EQUITIES LLC	State registered	Aug 15, 2011	Jul 7, 2014	no	SAN DIEGO, CA\|SAN DIEGO, CA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Sep 10, 2008	Jul 6, 2011	no	SAN DIEGO, CA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Sep 10, 2008	Jul 6, 2011	no	San Diego, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 17, 2007	Sep 3, 2008	no	SAN DIEGO, CA\|SAN DIEGO, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Aug 20, 2007	no	SAN DIEGO, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 18, 2006	Apr 2, 2007	no	SAN DIEGO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRIME CAPITAL EQUITIES LLC	SPEIRO INVESTMENTS, LLC	Jul 7, 2014	Jan 1, 2026	4,196	Firm change after gap	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jul 6, 2011	Sep 10, 2008	-1,029	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jul 6, 2011	Sep 10, 2008	-1,029	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Sep 3, 2008	Sep 10, 2008	7	Firm change	Other
MORGAN STANLEY & CO. LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 20, 2007	Sep 17, 2007	28	Firm change	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (7)

→ SPEIRO INVESTMENTS, LLCRegistered adviserregistration: current employment
Jan 1, 2026 to presentfactForm ADV
→ PRIME CAPITAL EQUITIES LLCRegistered adviserregistration: previous registration
Aug 15, 2011 to Jul 7, 2014factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 10, 2008 to Jul 6, 2011factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Sep 10, 2008 to Jul 6, 2011factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 17, 2007 to Sep 3, 2008factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Aug 20, 2007factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 18, 2006 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.