Bradford C. Moseley
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.
Bradford Charleston Moseley was a registered financial professional .
Bradford is a previously registered financial professional and started their career in finance in 1986. Bradford had worked at 7 firms and has passed the Series 63 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
August 7, 1995 - September 26, 1995
TRADEWAY SECURITIES GROUP, INC.
March 27, 1995 - May 15, 1995
COLUMBUS FINANCIAL, INC.
January 24, 1994 - March 21, 1995
TEXAS CAPITAL SECURITIES, INC.
February 5, 1992 - November 3, 1992
TITAN/VALUE EQUITIES GROUP, INC.
November 2, 1990 - January 20, 1992
AMERICAN FRONTEER FINANCIAL CORPORATION
July 18, 1989 - October 18, 1990
R.B. MARICH, INC.
May 23, 1986 - January 17, 1989
BLINDER, ROBINSON & CO., 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
TRADEWAY SECURITIES GROUP, INC.
CRD#: 29794 / SEC#: , 8-44549
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GUILTINAN, FRANCIS JOSEPH | CHAIRMAN OF THE BOARD, DIRECTOR, CEO | 1389620 |
| GUILTINAN, ROBERT MICHAEL | SHAREHOLDER | 2644488 |
| MADDEN, JOHN LAURENCE | SHAREHOLDER | 867661 |
| MANGIAPANE, JOSEPH JR | SHAREHOLDER | 1700465 |
| LANDAU, DAN EVAN | REGISTERED PRINCIPAL, SHAREHOLDER | 2401574 |
| WOODRUM, GEORGE QUINTIN | CHIEF COMPLIANCE OFFICER, CFO | 2783933 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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.
