Theodore J. Bragg
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.
Theodore James Bragg, who also goes by Ted Bragg, Theodore James Bragg III, Theodore James Bragg, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1988. Theodore had worked at 14 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 57TO, Series 72, SIE, Series 55, Series 7, Series 53 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
July 28, 2021 - August 11, 2022
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
May 22, 2017 - July 21, 2021
EXECUTION ACCESS, LLC
July 9, 2015 - May 18, 2017
ICAP SECURITIES USA LLC
May 19, 2015 - May 18, 2017
TP ICAP GLOBAL MARKETS AMERICAS LLC
March 30, 2012 - May 18, 2015
BNY MELLON CAPITAL MARKETS, LLC
June 26, 2007 - July 8, 2011
PERSHING ADVISOR SOLUTIONS LLC
February 28, 2006 - April 3, 2012
PERSHING LLC
June 10, 2005 - March 9, 2006
CANTOR FITZGERALD & CO.
January 28, 2004 - March 3, 2005
CORRESPONDENT SERVICES CORPORATION
March 25, 1999 - May 25, 2005
NATIONAL FINANCIAL SERVICES LLC
July 30, 1996 - March 15, 1999
BARCLAYS CAPITAL INC.
December 5, 1989 - October 25, 1993
LEHMAN GOVERNMENT SECURITIES INC.
December 5, 1989 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
December 15, 1988 - August 12, 1996
LEHMAN BROTHERS 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 55
Date: 1/17/2003
Limited Representative-Equity Trader ExamCurrent Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
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.
