Bradford J. Barker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Bradford Joseph Barker was a registered financial professional .
Bradford is a previously registered financial professional and started their career in finance in 1982. Bradford had worked at 9 firms and has passed the Series 63, Series 65, Series 7, Series 15, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2006 - October 31, 2006
NELSONREID, INC.
October 20, 1999 - December 11, 2000
NEVWEST SECURITIES CORPORATION
March 15, 1999 - May 28, 1999
CUNA BROKERAGE SERVICES, INC.
April 14, 1998 - January 25, 1999
BBVA COMPASS INVESTMENT SOLUTIONS, INC
August 23, 1996 - February 20, 1998
AMERICAN INVESTMENT SERVICES, INC.
October 21, 1994 - September 5, 1996
RFCA FINANCIAL SERVICES, INC.
October 16, 1989 - October 31, 1994
INVEST FINANCIAL CORPORATION
February 28, 1986 - November 8, 1989
UBS FINANCIAL SERVICES INC.
August 26, 1982 - March 17, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 5/24/1984
Foreign Currency Options ExaminationSeries 8
Date: 12/4/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NELSONREID, INC.
CRD#: 45503 / SEC#: , 8-51060
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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