Jonathan B. Bromley
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.
Jonathan Bruce Bromley was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1983. Jonathan had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2018 - December 31, 2022
GRADIENT SECURITIES, LLC
May 24, 2017 - December 31, 2022
GRADIENT SECURITIES, LLC
March 18, 1986 - August 6, 1992
INVESTACORP, INC.
October 8, 1985 - March 19, 1986
O. R. SECURITIES, INC.
August 24, 1983 - October 8, 1985
WZW FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
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
Current Firm
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 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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