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BD

Bradford Keith Dent

CRD# 1588966·Registered 1986 - 2009
Barred: Bradford Keith Dent was barred by both the FINRA and the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Bradford Keith Dent, who also goes by Brad Dent, was a registered financial advisor. Bradford was a previously registered financial advisor and started their career in finance 1986 - 2009. Bradford had worked at 5 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 51, Series 24 and Series 53 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

Brad Dent

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

BROKERSXPRESS LLC·CRD# 127081
BD
Cordova, TN
October 28, 2008 - March 24, 2009
CARTY, HARDING & HEARN, INC.·CRD# 7001
RIA
Memphis, TN
April 6, 2004 - December 20, 2006
CARTY, HARDING & HEARN, INC.·CRD# 7001
BD
Memphis, TN
October 28, 1997 - June 16, 2008
PFIC SECURITIES CORPORATION·CRD# 34941
BD
Franklin, TN
October 1, 1997 - October 29, 1997
UNION PLANTERS BROKERAGE SERVICES INC.·CRD# 27348
BD
February 15, 1996 - October 1, 1997
APEX CLEARING CORPORATION·CRD# 13071
BD
Dallas, TX
January 22, 1991 - February 24, 1996
CARTY, HARDING & HEARN, INC.·CRD# 7001
BD
Memphis, TN
December 26, 1986 - June 19, 1990

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Current Firm

BL
BROKERSXPRESS LLC

BROKERSXPRESS LLC | BXADVISORS | BX INSURANCE SERVICES | BX ASSET MANAGEMENT

CRD#: 127081 / SEC#: 801-66123, 8-65953
BD
Terminated by SEC on 02/05/2012

Contact Information

Established

Illinois since 03/26/2003

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Latest Form ADV

Part 2 Brochures

BROKERSXPRESS DISCLOSURE BROCHURE (5/25/2012)

Direct owners and executive officers

NamePositionCRD#
BROKERSXPRESS ILLINOIS, INC.MANAGING MEMBER—
KONOP, LYNN MARIECHIEF COMPLIANCE OFFICER1216310
METZGER, BARRY SCOTTCEO4719211
WETZEL, RONALD LEEFINANCIAL & OPERATIONS PRINCIPAL (FINOP)4671726

Disclosures

Regulatory Event

6

Bond

1

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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 65 — Uniform Investment Adviser Law Examination

Passed Dec 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1986About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Mar 2000

Series 7 — General Securities Representative Examination

Passed Dec 1986About the Series 7 exam

Series 51 — Municipal Fund Securities Principal Examination

Passed Mar 2003About the Series 51 exam

Series 24 — General Securities Principal Examination

Passed Mar 1998About the Series 24 exam

Series 53 — Municipal Securities Principal Examination

Passed Dec 1991About the Series 53 exam

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CRS (Client Relationship Summary)

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

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