Michael 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 Bradley, who also goes by Michael James Bradley, Mike J. Bradley, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2010 - August 28, 2012
ALLSTATE FINANCIAL SERVICES, LLC
May 28, 2009 - January 13, 2010
FIRST LEGACY SECURITIES, LLC
May 28, 2009 - January 13, 2010
FIRST LEGACY SECURITIES, LLC
August 22, 2008 - May 5, 2009
SUNSET FINANCIAL SERVICES, INC.
April 18, 2005 - May 5, 2009
SUNSET FINANCIAL SERVICES, INC.
August 6, 2004 - April 14, 2005
NEW ENGLAND SECURITIES
December 15, 2003 - June 2, 2004
NYLIFE SECURITIES LLC
November 26, 2002 - September 4, 2003
WOODBURY FINANCIAL SERVICES, INC.
August 28, 2002 - September 4, 2003
WOODBURY FINANCIAL SERVICES, INC.
May 9, 2001 - May 22, 2002
HIMCO DISTRIBUTION SERVICES COMPANY
May 17, 1985 - January 23, 2001
PRUCO SECURITIES, 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
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
