Bradley G. Treichler
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 Grove Treichler, who also goes by Brad Treichler, was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1992. Bradley had worked at 14 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 14, Series 27, Series 24, Series 10, Series 9, Series 53, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2019 - April 3, 2020
ICE SECURITIES EXECUTION & CLEARING, LLC
January 8, 2018 - March 12, 2020
TMC BONDS L.L.C.
December 15, 2004 - October 6, 2017
FIDELITY BROKERAGE SERVICES LLC
December 13, 2002 - September 28, 2004
STOCKS 4 LESS, INC.
March 4, 2002 - December 12, 2002
BLS SECURITIES, LLC
January 9, 2002 - September 28, 2004
NATIONAL CLEARING CORP.
July 17, 2000 - January 2, 2002
MANTIS SECURITIES, INC.
February 25, 2000 - April 14, 2000
NEW WINDSOR ASSOCIATES, L.P.
May 12, 1998 - June 29, 1998
MISSIONSQUARE INVESTMENT SERVICES
April 7, 1997 - April 2, 1999
AVALON PARTNERS, INC.
October 11, 1996 - August 5, 1997
TERRA NOVA FINANCIAL, LLC
August 30, 1995 - May 17, 1996
MORGAN STANLEY DW INC.
September 26, 1994 - June 28, 1995
H.J. MEYERS & CO., INC.
October 19, 1992 - October 13, 1994
CHARLES SCHWAB & 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 7TO
Date: 10/14/2022
General Securities Representative ExaminationSeries 52TO
Date: 10/14/2022
Municipal Securities Representative ExaminationSeries 99TO
Date: 10/14/2022
Operations Professional ExaminationSeries 57TO
Date: 10/14/2022
Securities Trader ExamSeries 55
Date: 7/22/1998
Limited Representative-Equity Trader ExamSeries 8
Date: 1/10/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ICE SECURITIES EXECUTION & CLEARING, LLC
CRD#: 299634 / SEC#: , 8-70258
Contact information
FINRA licenses (3 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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