Brian J. Brady
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.
Brian John Brady MR., who also goes by Brian John Brady, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1984. Brian had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 72 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2014 - December 19, 2018
TMC BONDS L.L.C.
July 6, 2012 - August 22, 2013
MARKETAXESS CORPORATION
October 1, 2009 - May 23, 2012
BONDS.COM LLC
March 25, 2008 - December 16, 2008
PHOENIX DERIVATIVES GROUP, LLC
June 19, 2003 - June 25, 2008
BGC FINANCIAL, L.P.
April 23, 1998 - February 9, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
May 22, 1995 - November 27, 1996
LIBERTY BROKERS
April 6, 1993 - April 2, 1998
TULLETT PREBON FINANCIAL SERVICES LLC
April 15, 1992 - September 9, 1992
FUNDAMENTAL BROKERS
June 20, 1991 - April 13, 1992
TULLETT PREBON FINANCIAL SERVICES LLC
June 22, 1989 - May 15, 1991
FINANCIAL SQUARE PARTNERS
July 25, 1987 - June 19, 1989
INTERCAPITAL GOVERNMENT SECURITIES INC.
August 16, 1984 - June 26, 1985
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
Series 72
Date: 6/18/2003
Government Securities Representative ExaminationCurrent Firm
TMC BONDS L.L.C.
CRD#: 104507 / SEC#: , 8-52951
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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