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Bradford Lee Cornell

CRD# 1449471·Registered 1986 - 2023
Previously Registered: Being a previously registered professional could mean that Bradford 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.

Professional Summary

Bradford Lee Cornell was a registered financial advisor. Bradford was a previously registered financial professional and started their career in finance 1986 - 2023. Bradford had worked at 9 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 3 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

TAPP ENGINE SECURITIES·CRD# 314806
BD
Quincy, MA
March 23, 2022 - May 8, 2023
VELOCITY CLEARING, LLC·CRD# 126588
BD
Hazlet, NJ
October 6, 2021 - May 10, 2022
LPL FINANCIAL LLC·CRD# 6413
BD
Fort Mill, SC
October 15, 2008 - July 1, 2019
UVEST FINANCIAL SERVICES GROUP, INC.·CRD# 13787
BD
Charlotte, NC
March 22, 2000 - February 2, 2012
TRANSAMERICA SECURITIES SALES CORPORATION·CRD# 17970
BD
Los Angeles, CA
July 14, 1997 - April 6, 2000
INVEST FINANCIAL CORPORATION·CRD# 12984
BD
Appleton, WI
December 11, 1995 - May 2, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
September 17, 1994 - November 21, 1995
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
July 1, 1987 - December 13, 1988
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
January 21, 1986 - August 8, 1986

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Current Firm

TE
TAPP ENGINE SECURITIES

TAPP ENGINE SECURITIES | TAPP ENGINE SECURITIES, LLC

CRD#: 314806 / SEC#: 8-70723
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)

Contact Information

Main Address

1400 Hancock St. 6th Floor, Quincy, MA 02169

Mailing Address

1400 Hancock St. 6th Floor, Quincy, MA 02169

Phone Number

(617) 221-6545

Established

Delaware since 06/17/2020

Firm Type

Limited Liability Company

Fiscal Year End

June

Firm Size

Small

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TAPP ENGINE, INC.PARENT COMPANY—
HOCKADAY, SHAWN PIERRECOO, POO2882891
OSUNSANYA, TOSINCEO3117458
PETERS, ROBERT WILLIAMFINOP, PFO1704577
WISHNIVETSKI, ELICCO4424907

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 2022About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 1994About the Series 65 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 1994About the Series 7 exam

Series 3 — National Commodity Futures Examination

Passed Mar 1986About the Series 3 exam

Series 24 — General Securities Principal Examination

Passed Oct 2007About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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