William S. Bradley
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.
William Scott Bradley, who also goes by Scott Bradley, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1995. William had worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2002 - October 20, 2003
SUMMIT BROKERAGE SERVICES, INC.
November 14, 2002 - October 20, 2003
SUMMIT FINANCIAL GROUP INC
April 10, 2002 - October 11, 2002
BB&T INVESTMENT SERVICES, INC.
September 29, 1999 - October 11, 2002
BB&T INVESTMENT SERVICES, INC.
July 28, 1998 - October 28, 1999
FIRST UNION BROKERAGE SERVICES, INC.
March 12, 1998 - July 31, 1998
BB&T INVESTMENT SERVICES, INC.
August 18, 1997 - March 17, 1998
BB&T INVESTMENT SERVICES OF SOUTH CAROLINA, INC.
July 1, 1996 - August 20, 1997
PMG SECURITIES CORPORATION
August 2, 1995 - June 24, 1996
LEGEND EQUITIES CORPORATION
July 20, 1995 - August 1, 1995
NATIONAL PLANNING CORPORATION
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
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
