Charles 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.
Charles Joseph Brady was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1986. Charles had worked at 7 firms and has passed the Series 63, Series 87, Series 86, Series 16, Series 7 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
November 28, 2011 - February 8, 2012
CAROLINA CAPITAL MARKETS, INC.
May 18, 2006 - June 7, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 1, 2005 - April 19, 2006
EKN FINANCIAL SERVICES INC.
April 14, 1999 - August 13, 2004
CREDIT AGRICOLE SECURITIES (USA) INC.
May 24, 1991 - March 19, 1992
INTESA SANPAOLO IMI SECURITIES CORP.
February 19, 1987 - November 29, 1990
CIBC WORLD MARKETS CORP.
May 20, 1986 - March 5, 1987
SANFORD C. BERNSTEIN & 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
CAROLINA CAPITAL MARKETS, INC.
CRD#: 38156 / SEC#: , 8-48095
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
