Brad S. Feinstein
Professional summary
Brad Scott Feinstein was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brad Scott Feinstein, who also goes by Brad Feinstein, was a registered financial advisor .
Brad is a previously registered financial advisor and started their career in finance in 1995. Brad had worked at 9 firms and has passed the Series 66, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2013 - May 2, 2014
GARDEN STATE SECURITIES, INC.
January 2, 2013 - April 26, 2013
MERRIMAN CAPITAL, INC.
June 17, 2011 - September 28, 2012
W.A. CAPITAL MARKETS
July 31, 2009 - August 20, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
June 2, 2009 - August 4, 2009
OPPENHEIMER & CO. INC.
June 2, 2009 - August 4, 2009
OPPENHEIMER & CO. INC.
August 22, 2006 - April 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 18, 2006 - April 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 22, 2004 - September 5, 2006
UBS FINANCIAL SERVICES INC.
July 12, 2002 - September 5, 2006
UBS FINANCIAL SERVICES INC.
May 28, 1998 - July 16, 2002
MORGAN STANLEY DW INC.
May 31, 1995 - May 27, 1998
PRUDENTIAL EQUITY GROUP, LLC
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
GARDEN STATE SECURITIES, INC.
CRD#: 10083 / SEC#: , 8-25790
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMBROSINO, RAYMOND EDWARD | DIRECTOR/SHAREHOLDER | 2070784 |
| DEROSA, KEVIN JOHN | DIRECTOR/SHAREHOLDER | 2314895 |
| PERROTTO, LOUIS LUCKY JR | DIRECTOR/SHAREHOLDER/CHIEF EXECUTIVE OFFICER | 3053498 |
| SARI, SCOTT HENRY | DIRECTOR/SHAREHOLDER | 2226426 |
| MALONE, PATRICK ANTHONY | CHIEF SUPERVISORY OFFICER | 2143703 |
| MCMULLIN, ROBERT | CHIEF FINANCIAL OFFICER | 1540045 |
| TRIGILI, STEVEN DAVID | CHIEF COMPLIANCE OFFICER | 2232496 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 3 |
Red Flags
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