BR

Bradley Louis Rozema

45 Years of Experience

Firm Information

Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Number of Advisors
101 advisors
Number of Clients
4,342 clients
Average Client Portfolio
$912K average
Assets Under Management
$4.0B

Fee Structure

Minimum Investment:$25K
Financial Plan Fee:$1,500 - $25,000

Thurston Springer charges fees for ERISA fiduciary services based on the selected fee arrangement. These include one-time fees (ranging from $1,500 to $10,000), flat annual fees (ranging from $5,000 to $25,000 per year), and asset-based fees (ranging from 0.10% to 0.50% annually). The firm also charges fees for extra services such as 401(k) reviews, assessed hourly or by increasing the annual fee. Payment for advice can be billed at an hourly rate and may include such matters as working with family members, settling an estate, etc.

Areas of Practice
Retirement PlanningEstate PlanningInvestment Management
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Advisor Information

Office location

9000 Keystone Crossing, Seventh Floor, Indianapolis, IN, 46240

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Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
October 2015
Final
Employment Separation After Allegations
August 2014
Customer Dispute
October 2013
Denied
Customer Dispute
October 1998
Award / Judgment
Other Business Activities

Bradley owns two rental properties and is a managing partner in Rozema Group, LLC, a real estate holding company. These activities require minimal time commitment.

Employment History
Current Registrations
Thurston Springer Advisors
August 2020 - Present · 5 yrs 5 mos
Thurston Springer FinancialBroker
August 2014 - Present · 11 yrs 5 mos
Previous Registrations
Thurston Springer Financial
August 2014 - July 2021 · 6 yrs 11 mos
Wells Fargo Advisors, LLC
March 2009 - August 2014 · 5 yrs 5 mos
Wells Fargo Advisors, LLC Broker
February 2009 - August 2014 · 5 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
December 1998 - February 2009 · 10 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
January 1980 - February 2009 · 29 yrs 1 mo
State Registrations14 states
ARCAFLGAILINMIMNMTNCNVOHPASC
AdvisorBrokerBoth
Exams
No exam information available for this advisor.