Bradford G. Smith
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.
Bradford Glen Smith, who also goes by Brad Smith, was a registered financial advisor .
Bradford is a previously registered financial advisor and started their career in finance in 1991. Bradford had worked at 3 firms and has passed the Series 63 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
May 20, 2003 - February 9, 2004
QA3 FINANCIAL CORP.
March 27, 1998 - May 15, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 22, 1997 - May 15, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 10, 1991 - November 17, 1997
AVANTAX INVESTMENT SERVICES, 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
QA3 FINANCIAL CORP.
CRD#: 14754 / SEC#: , 8-31155
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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.
