AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
BR

Bradley L. Ruderman

Some features on this profile are disabled
CRD#: 1652198
BR

Professional summary

Bradley Lewis Ruderman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Bradley is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Bradley had worked at 5 firms, which includes WITENBERG INVESTMENT COMPANIES INC., J.P. MORGAN SECURITIES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, PERSHING LLC, LEHMAN BROTHERS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brad Ruderman

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 3, 2002 - February 10, 2003

WITENBERG INVESTMENT COMPANIES, INC.

BD
CRD#: 42372
BEVERLY HILLS, CA
Past

February 4, 1998 - November 6, 1998

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

February 2, 1995 - February 12, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 15, 1993 - March 9, 1995

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

April 29, 1987 - January 27, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/26/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/2/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 8/22/1988
National Commodity Futures Examination

Current Firm

WI
WITENBERG INVESTMENT COMPANIES, INC.
WITENBERG INVESTMENT COMPANIES, INC.

CRD#: 42372 / SEC#: , 8-49817

BD
Terminated by SEC on 06/06/2011
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
California since 05/23/1994
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WITENBERG, WILLIAM MICHAELCHAIRMAN808324
BREARD, KEVIN GRAMFIN OP4701414
PARRY, IVAN ARTHUR JRCCO, SROP, CROP2063545
URNER, CHRISTOPHER JOHNPRESIDENT, HEAD TRADER, & OFFICE MANAGER2239044

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.

Company Information

WITENBERG INVESTMENT COMPANIES, INC.

CRD#: 42372

TRUST BUT VERIFY

Monitor Bradley Ruderman

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics