John R. Brady
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.
John Robert Brady, who also goes by John R Brady, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 1997 - June 1, 1998
NATIONAL SECURITIES CORPORATION
April 4, 1995 - April 24, 1997
THE BOSTON GROUP
March 28, 1994 - April 12, 1995
A.S. GOLDMEN & CO., INC.
December 4, 1992 - February 17, 1994
LAIDLAW GLOBAL SECURITIES, INC.
October 20, 1992 - November 19, 1992
PRUDENTIAL EQUITY GROUP, LLC
June 28, 1991 - October 20, 1992
D. H. BLAIR & CO., INC.
May 25, 1988 - July 22, 1991
LEHMAN BROTHERS INC.
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
