Michael T. Bradley
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.
Michael Thomas Bradley was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 25, Series 55 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
June 8, 2021 - February 13, 2024
CHARLES SCHWAB & CO., INC.
June 7, 2021 - February 13, 2024
CHARLES SCHWAB & CO., INC.
September 14, 2017 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 14, 2017 - January 11, 2021
TD AMERITRADE, INC.
September 14, 2017 - January 11, 2021
TD AMERITRADE, INC.
March 3, 2015 - July 19, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 3, 2015 - July 19, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 2013 - March 17, 2015
MORGAN STANLEY
May 6, 2013 - March 17, 2015
MORGAN STANLEY
August 4, 2006 - December 21, 2012
QUANTITATIVE ANALYSIS SERVICE, INC.
December 19, 2003 - July 26, 2006
REDWOOD BROKERAGE LLC
June 25, 2002 - June 6, 2003
INSTITUTIONAL DIRECT INC.
June 8, 2000 - June 24, 2002
APEX CLEARING CORPORATION
October 19, 1999 - May 19, 2000
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 28, 1998 - September 7, 1999
ABN AMRO SECURITIES LLC
October 20, 1992 - August 27, 1998
REUTERS C CORPORATION
February 6, 1990 - September 9, 1992
THE FOURTEEN RESEARCH CORPORATION
August 1, 1989 - October 24, 1989
GORDON, HASKETT CAPITAL CORPORATION
August 27, 1986 - July 13, 1989
RBC CAPITAL MARKETS CORPORATION
February 19, 1985 - August 11, 1986
THE FOURTEEN RESEARCH CORPORATION
November 22, 1983 - January 16, 1985
AMIVEST CORPORATION
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 25
Date: 5/21/2003
NYSE Trading Assistant ExaminationSeries 55
Date: 11/13/1999
Limited Representative-Equity Trader ExamCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
