Edward 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.
Edward John Brady, who also goes by Ed Brady, Eddie Brady, Edward John Brady Jr, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1986. Edward had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2017 - January 28, 2019
AK CAPITAL LLC
April 3, 2014 - August 2, 2017
B. RILEY WEALTH MANAGEMENT
February 22, 2011 - September 14, 2011
TULLETT PREBON FINANCIAL SERVICES LLC
January 14, 2009 - January 28, 2011
BGC FINANCIAL, L.P.
June 7, 1994 - February 6, 1996
PRINCIPAL SECURITIES, INC.
August 17, 1992 - July 12, 1993
WESTCAP SECURITIES, L.P.
December 21, 1988 - July 12, 1993
WESTCAP GOVERNMENT SECURITIES, INC.
December 17, 1986 - July 7, 1987
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
February 19, 1986 - November 13, 1986
RAUSCHER PIERCE REFSNES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
AK CAPITAL LLC
CRD#: 28345 / SEC#: , 8-43682
Contact information
Documents
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.
