Bradford K. Dent
Professional summary
Bradford Keith Dent was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bradford is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, Bradford had worked at 5 firms, which includes BROKERSXPRESS LLC, CARTY HARDING & HEARN INC., PFIC SECURITIES CORPORATION, UNION PLANTERS BROKERAGE SERVICES INC., APEX CLEARING CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2008 - March 24, 2009
BROKERSXPRESS LLC
April 6, 2004 - December 20, 2006
CARTY, HARDING & HEARN, INC.
October 28, 1997 - June 16, 2008
CARTY, HARDING & HEARN, INC.
October 1, 1997 - October 29, 1997
PFIC SECURITIES CORPORATION
February 15, 1996 - October 1, 1997
UNION PLANTERS BROKERAGE SERVICES INC.
January 22, 1991 - February 24, 1996
APEX CLEARING CORPORATION
December 26, 1986 - June 19, 1990
CARTY, HARDING & HEARN, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 3/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
BROKERSXPRESS LLC
CRD#: 127081 / SEC#: 801-66123, 8-65953
Contact information
Disclosures
| Regulatory Event | 6 |
| Bond | 1 |
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