Bradley J. Duplicki
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.
Bradley Joseph Duplicki, who also goes by Brad Duplicki, Bradley Duplicki, was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1988. Bradley had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2022 - September 8, 2025
WELLS FARGO CLEARING SERVICES, LLC
March 9, 2022 - September 8, 2025
WELLS FARGO CLEARING SERVICES, LLC
January 26, 2022 - February 1, 2022
CHARLES SCHWAB & CO., INC.
January 26, 2022 - February 1, 2022
CHARLES SCHWAB & CO., INC.
February 27, 2018 - February 1, 2022
TD AMERITRADE, INC.
February 26, 2018 - February 1, 2022
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - February 1, 2022
TD AMERITRADE, INC.
January 25, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
November 29, 2016 - February 26, 2018
SCOTTRADE, INC.
April 3, 2015 - October 28, 2016
CHARLES SCHWAB & CO., INC.
April 3, 2015 - October 28, 2016
CHARLES SCHWAB & CO., INC.
November 29, 2011 - March 18, 2015
PNC WEALTH MANAGEMENT LLC
November 29, 2011 - March 18, 2015
PNC WEALTH MANAGEMENT LLC
August 6, 2009 - November 14, 2011
CETERA INVESTMENT SERVICES LLC
August 6, 2009 - November 14, 2011
CETERA INVESTMENT SERVICES LLC
January 15, 2008 - July 7, 2009
TRANSAMERICA CAPITAL, LLC
September 12, 2007 - November 19, 2008
HORIZON INVESTMENTS LLC
July 7, 2003 - April 30, 2007
ASHTON STEWART & CO., INC.
December 13, 2002 - July 9, 2003
PRUCO SECURITIES, LLC.
March 27, 2002 - December 13, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 21, 2001 - January 22, 2002
GUARDIAN INVESTOR SERVICES LLC
June 7, 1999 - April 17, 2001
METLIFE INVESTORS SALES COMPANY
May 2, 1997 - January 9, 1999
GLOBAL ATLANTIC DISTRIBUTORS, LLC
September 23, 1988 - April 25, 1997
HORNOR, TOWNSEND & KENT, LLC
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
