Bradley E. Yardis
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 Edward Yardis, who also goes by Bradley Yardis, was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1991. Bradley had worked at 9 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2007 - January 18, 2008
NEWOAK CAPITAL MARKETS LLC
May 5, 2003 - November 11, 2003
ELECTRONIC TRADING GROUP, LLC
June 27, 2002 - January 24, 2003
COMPLETE TRADE
October 17, 2001 - June 20, 2002
CARLIN EQUITIES, LLC
February 1, 1999 - October 22, 2001
ON-SITE TRADING, INC.
August 29, 1998 - January 29, 1999
ALL-TECH DIRECT, INC.
June 24, 1992 - October 5, 1994
AUERBACH, POLLAK & RICHARDSON INC.
March 27, 1992 - June 24, 1992
STUART, COLEMAN & CO., INC.
August 26, 1991 - March 30, 1992
CHATFIELD DEAN & CO., 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
Series 55
Date: 11/14/2007
Limited Representative-Equity Trader ExamCurrent Firm
NEWOAK CAPITAL MARKETS LLC
CRD#: 104063 / SEC#: , 8-52532
Contact information
FINRA licenses (9 States and Territories)
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.
