Bradley T. Wendler
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.
Bradley Thomas Wendler, who also goes by Brad Wendler, was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1984. Bradley had worked at 13 firms and has passed the Series 63, 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
April 19, 2011 - March 20, 2012
HSBC SECURITIES (USA) INC.
September 16, 2010 - April 18, 2011
COHEN & COMPANY CAPITAL MARKETS, LLC
August 26, 2009 - October 1, 2010
COHEN & COMPANY SECURITIES, LLC
May 28, 2003 - June 14, 2007
RAYMOND JAMES & ASSOCIATES, INC.
July 6, 2001 - May 27, 2003
LEHMAN BROTHERS INC.
July 13, 2000 - November 20, 2000
PERSHING LLC
June 7, 1999 - July 28, 2000
DEUTSCHE BANK SECURITIES INC.
February 11, 1995 - June 7, 1999
DB ALEX. BROWN LLC
November 18, 1992 - September 29, 1994
CREDIT SUISSE SECURITIES (USA) LLC
March 28, 1991 - October 30, 1992
PRINTON, KANE GROUP, INC.
June 6, 1990 - August 23, 1990
FIRST UNION CAPITAL MARKETS CORP.
May 30, 1989 - September 19, 1989
CHASE SECURITIES, INC.
October 25, 1984 - May 5, 1989
SALOMON BROTHERS INC.
Primary Firm SEC Registration
HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
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: 6/15/2010
Limited Representative-Equity Trader ExamCurrent Firm
HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HSBC MARKETS (USA), INC. | PARENT | |
| BENDER, SETH P | GENERAL COUNSEL | 4547812 |
| BUSCAGLIA, SARA FAYE | DIRECTOR | 4884059 |
| HENDERSON, JASON RYAN | PRESIDENT/CEO/DIRECTOR | 7207400 |
| MEHTA, ORESTA I | DIRECTOR | 7056066 |
| NATALE, DUSTIN | CHIEF COMPLIANCE OFFICER (BD) AND HEAD OF MSS COMPLIANCE | 5581428 |
| PALOMAKI, DANIEL S | INTERIM CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6817317 |
| PECORELLA, ANTHONY | INTERIM HEAD OF OPERATIONS / PRINCIPAL OPERATIONS OFFICER | 1948919 |
| SHAW, IAN G | MANAGING DIRECTOR, HEAD OF US WPB COMPLIANCE AND CHIEF COMPLIANCE OFFICER OF RIA | 7051510 |
Regulatory assets under management
| Total Number of Accounts | 12,180 |
| AUM (Assets Under Management) | $ 3,232,551,904 |
Disclosures
| Regulatory Event | 86 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 12/11/2024 | ||
| 10/20/2023 |
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.
