Timothy S. Brackett
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.
Timothy Shryock Brackett was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1983. Timothy had worked at 4 firms and has passed the Series 63, Series 87, Series 55, 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
November 1, 1999 - October 22, 2012
OSCAR GRUSS & SON INCORPORATED
August 6, 1990 - October 25, 1999
LADENBURG THALMANN & CO. INC.
April 13, 1988 - July 27, 1990
OPPENHEIMER & CO. INC.
November 22, 1983 - April 13, 1988
FAHNESTOCK INTERNATIONAL 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
Series 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
OSCAR GRUSS & SON INCORPORATED
CRD#: 2091 / SEC#: , 8-22371
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 26 |
| Arbitration | 5 |
| Judgment/Lien | 13 |
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.
