Bradford M. Vorhees
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 Morgan Vorhees, who also goes by Bradford Lynn Vohees, Brad Vorhees, Bradford M Vorhees, Bradford Vorhees, was a registered financial advisor .
Bradford is a previously registered financial advisor and started their career in finance in 1984. Bradford had worked at 7 firms and has passed the Series 65, Series 63 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
November 1, 2002 - April 23, 2003
MUTUAL SECURITIES, INC.
May 24, 2002 - December 31, 2004
ALTERNATIVE CAPITAL, L.L.C.
August 17, 2000 - December 21, 2000
PENSTAR TRADING, LLC
July 14, 1997 - August 23, 2000
PIPER SANDLER & CO.
June 16, 1994 - August 6, 1997
DAIN RAUSCHER INCORPORATED
February 25, 1985 - March 1, 1985
COSSE' INTERNATIONAL SECURITIES, INC.
June 21, 1984 - July 1, 1994
MORGAN STANLEY DW 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
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
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.
