CB
Charles L. Bradley
CARTER, TERRY & COMPANY
Atlanta, GA 30305
Some features on this profile are disabled
CRD#: 1157140
CB
Professional summary
Charles Lee Bradley, who also goes by Lee Bradley, is a registered financial professional currently at CARTER, TERRY & COMPANY, INC. located in Atlanta, Georgia.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1983. Charles has worked at 10 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lee Bradley
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Charles Lee Bradley's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 30, 2018 - Present
CARTER, TERRY & COMPANY, INC.
Office #1: 3060 Peachtree Road Suite 1200, Atlanta, GA 30305RIA
BD
CRD#: 16365
Atlanta, GA
Past
April 12, 2011 - June 4, 2018
PATRICK CAPITAL MARKETS, LLC
BD
CRD#: 16518
Suwanee, GA
Past
October 12, 2009 - November 4, 2010
COMPASS POINT RESEARCH & TRADING, LLC
BD
CRD#: 126258
DULUTH, GA
Past
October 22, 2007 - March 14, 2008
SAMCO CAPITAL MARKETS, INC.
BD
CRD#: 136532
AUSTIN, TX
Past
October 2, 2007 - June 24, 2009
COMMERCE STREET CAPITAL, LLC
BD
CRD#: 143797
DULUTH, GA
Past
May 19, 2006 - October 1, 2007
SAMCO CAPITAL MARKETS, INC.
BD
CRD#: 136532
DULUTH, GA
Past
December 14, 2005 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
BD
CRD#: 25866
DALLAS, TX
Past
June 24, 1991 - September 30, 1994
CLEARING SERVICES OF AMERICA, INC.
BD
CRD#: 23623
ST. LOUIS, MO
Past
March 6, 1991 - May 28, 1991
FIRST ATLANTA SECURITIES, LLC
BD
CRD#: 18200
DESTIN, FL
Past
January 31, 1985 - August 15, 1990
ATLANTA SECURITIES & INVESTMENTS, INC.
BD
CRD#: 15762
Past
August 24, 1983 - May 23, 1984
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CT
CARTER, TERRY & COMPANY, INC.
ATTKISSON AND ASSOCIATES, INCORPORATED | WICKHAM FINANCIAL & INSURANCE SERVICES | FJB SECURITIES, INC. | CARTER, TERRY & COMPANY, INC. | ATTKISSON, CARTER AND ASSOCIATES, INCORPORATED | ATTKISSON, CARTER & COMPANY, INC. | ATTKISSON, CARTER & AKERS, INCORPORATED | ATTKISSON CARTER & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
RIA
Registered Investment Advisory firm - SEC (4/30/2018 Approved)Florida
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/26/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/30/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(2/28/2019)
RR
District of Columbia(11/14/2018)
RR
Georgia(6/27/2018)
RR
North Carolina(7/18/2018)
RR
Oklahoma(11/22/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CT
CARTER, TERRY & COMPANY, INC.
ATTKISSON AND ASSOCIATES, INCORPORATED | WICKHAM FINANCIAL & INSURANCE SERVICES | FJB SECURITIES, INC. | CARTER, TERRY & COMPANY, INC. | ATTKISSON, CARTER AND ASSOCIATES, INCORPORATED | ATTKISSON, CARTER & COMPANY, INC. | ATTKISSON, CARTER & AKERS, INCORPORATED | ATTKISSON CARTER & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
RIA
Registered Investment Advisory firm - SEC (4/30/2018 Approved)Florida
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/26/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/30/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
3060 Peachtree Road Suite 1200 Suite 1200, Atlanta, GA 30305
Mailing Address
3060 Peachtree Road Suite 1200, Atlanta, GA 30305
Phone number
(404) 364-2070
Established
Georgia since 03/12/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
37
SEC notice filing (12 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 185 |
| AUM (Assets Under Management) | $ 111,326,459 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
