Kathleen T. 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.
Kathleen Theresa Bradley, who also goes by Kathleen Theresa Bittig, Kathleen Theresa Donnelly, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1993. Kathleen had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 11, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2017 - June 3, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
April 24, 2014 - August 21, 2017
FINANCIAL WEST GROUP
September 4, 2007 - April 22, 2014
MURIEL SIEBERT & CO., LLC
May 24, 2005 - August 24, 2006
MORGAN STANLEY DW INC.
July 1, 2003 - May 5, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 4, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 26, 2000 - July 9, 2001
PRUDENTIAL EQUITY GROUP, LLC
November 12, 1993 - February 5, 1997
MUTUAL SECURITIES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 11
Date: 10/27/1993
Assistant Representative-Order Processing Qualification ExamCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
