Thomas A. 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.
Thomas Anthony Brady, who also goes by Tom Brady, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 12 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 31, Series 7, Series 3, Series 10, Series 9, Series 53 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
June 7, 2016 - June 2, 2022
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
June 7, 2016 - June 2, 2022
FIRST REPUBLIC SECURITIES COMPANY, LLC
June 2, 2016 - June 6, 2016
HENNION & WALSH ASSET MANAGEMENT, INC.
June 4, 2013 - June 3, 2016
HENNION & WALSH, INC.
October 27, 2009 - May 29, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 27, 2009 - May 29, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 12, 2008 - December 3, 2008
MORGAN STANLEY & CO. LLC
May 7, 2008 - December 3, 2008
MORGAN STANLEY & CO. LLC
May 10, 2002 - November 21, 2007
RBC CAPITAL MARKETS, LLC
March 9, 2002 - November 21, 2007
RBC CAPITAL MARKETS, LLC
September 1, 1999 - March 9, 2002
TUCKER ANTHONY INCORPORATED
February 5, 1998 - September 1, 1999
GIBRALTAR SECURITIES CO.
October 11, 1996 - May 16, 1997
FIRST INTERREGIONAL EQUITY CORP.
June 26, 1996 - October 8, 1996
CITIGROUP GLOBAL MARKETS INC.
April 5, 1988 - March 22, 1989
NOMURA SECURITIES INTERNATIONAL, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
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.
