Robert T. 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.
Robert Thomas Brady, who also goes by Bob Brady, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 18 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2014 - March 2, 2015
SENTINEL BROKERS COMPANY, INC.
August 14, 2012 - September 23, 2014
TULLETT PREBON FINANCIAL SERVICES LLC
June 18, 2012 - July 17, 2012
STANDARD CREDIT SECURITIES INC.
September 6, 2011 - July 27, 2012
TRADITION SECURITIES AND DERIVATIVES LLC
June 23, 2009 - August 24, 2011
CHAPDELAINE TULLETT PREBON, LLC
May 1, 2008 - June 3, 2009
TP ICAP GLOBAL MARKETS AMERICAS LLC
December 4, 2007 - April 29, 2008
TRADITION SECURITIES AND DERIVATIVES LLC
June 12, 2006 - April 2, 2007
NEWEDGE USA, LLC
January 13, 2003 - May 31, 2006
SEABOARD SECURITIES, INC.
September 23, 2002 - January 2, 2003
W.A. CAPITAL MARKETS
March 11, 2002 - April 11, 2002
TP ICAP GLOBAL MARKETS AMERICAS LLC
January 31, 2000 - December 7, 2001
BGC FINANCIAL, L.P.
October 22, 1999 - December 17, 1999
CITICORP INVESTMENT SERVICES
August 27, 1998 - May 25, 1999
CHASE INVESTMENT SERVICES CORP.
September 17, 1991 - May 15, 1998
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1990 - September 23, 1991
CITIGROUP GLOBAL MARKETS INC.
July 20, 1989 - January 9, 1990
J F LOWE & COMPANY INCORPORATED
March 21, 1988 - July 21, 1989
W.J. NOLAN & COMPANY, INC.
January 4, 1988 - March 12, 1988
GREENTREE SECURITIES CORP.
January 24, 1986 - February 3, 1988
BROOKS WEINGER ROBBINS & LEEDS 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
Current Firm
SENTINEL BROKERS COMPANY, INC.
CRD#: 40305 / SEC#: , 8-49005
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENTINEL BROKERS LLC | SHAREHOLDER | |
| SED CAPITAL PTE LTD | OWNER | |
| LAWLESS, JOSEPH MATHEW | CEO, CCO | 1783307 |
Disclosures
| Regulatory Event | 1 |
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.
