Richard J. Brady
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.
Richard James Brady was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1990. Richard had worked at 7 firms and has passed the Series 63, SIE 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
June 3, 2015 - September 3, 2019
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
September 16, 2014 - May 26, 2015
IRC SECURITIES LLC
October 2, 2012 - September 19, 2014
MIZUHO SECURITIES USA LLC
January 14, 2008 - September 18, 2012
OPPENHEIMER & CO. INC.
July 17, 1995 - January 14, 2008
CIBC WORLD MARKETS CORP.
July 31, 1993 - August 16, 1995
CITIGROUP GLOBAL MARKETS INC.
November 19, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
CRD#: 13233 / SEC#: , 8-28508
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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