James P. Brorby
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.
James Patrick Brorby, who also goes by Pat Brorby, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2016 - November 20, 2019
BRADLEY CAPITAL, LLC
June 24, 2015 - November 11, 2015
STEELE CAPITAL MANAGEMENT, INC.
October 30, 2002 - June 8, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 26, 1988 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
January 21, 1985 - June 8, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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 8
Date: 5/20/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BRADLEY CAPITAL, LLC
CRD#: 282198 / SEC#:
Contact information
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.
