Bradley Osborn
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.
Bradley Osborn, who also goes by Brad Osborn, Bradley Ptasienski Osborn, Bradley Osborn, Bradley Albert Ptasienski, was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 2001. Bradley had worked at 9 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2023 - June 4, 2026
FIDELITY BROKERAGE SERVICES LLC
May 6, 2022 - June 4, 2026
NATIONAL FINANCIAL SERVICES LLC
January 2, 2020 - April 8, 2022
LFT SECURITIES, LLC
February 5, 2018 - December 9, 2019
BONDS.COM LLC
October 16, 2014 - September 16, 2016
PARK AVENUE SECURITIES LLC
April 24, 2014 - September 8, 2014
TRADEWEB DIRECT LLC
January 30, 2007 - June 12, 2014
TRADEWEB LLC
January 12, 2004 - August 10, 2006
TRADEWEB DIRECT LLC
November 18, 2002 - November 25, 2003
KNIGHT BONDPOINT, INC.
October 15, 2001 - October 16, 2002
MORGAN STANLEY DW 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
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 126 |
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.
