Bradford W. Harries
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.
Bradford Wayne Harries was a registered financial professional .
Bradford is a previously registered financial professional and started their career in finance in 1983. Bradford had worked at 7 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, 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
March 28, 2011 - September 29, 2025
CHESSIECAP SECURITIES, INC.
August 28, 2002 - March 18, 2011
CHEVAL CAPITAL, INC.
June 11, 1999 - October 12, 2000
KAUFMAN BROS., L.P.
July 20, 1995 - May 7, 1999
THE COLUMBIA GROUP, INC.
May 21, 1993 - July 7, 1995
ABN AMRO SECURITIES LLC
March 7, 1989 - August 11, 1992
FINANCIAL SQUARE PARTNERS
November 22, 1983 - May 28, 1987
CREDIT SUISSE SECURITIES (USA) LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CHESSIECAP SECURITIES, INC.
CRD#: 132153 / SEC#: , 8-66565
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHESSIECAP, INC. | OWNER | |
| SCHMIDT, DOUGLAS MORTON | PRESIDENT/CEO/EXECUTIVE REPRESENTATIVE/CCO/AMLCO/FINOP | 1860723 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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