Bradley D. Brokaw
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 Douglas Brokaw, who also goes by Brad Brokaw, Bradley D Brokaw, was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1992. Bradley had worked at 4 firms and has passed the Series 63, Series 55 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 5, 2001 - October 2, 2001
COASTAL SECURITIES, INC.
January 29, 2001 - June 5, 2001
HUBERMAN FINANCIAL INC.
May 15, 1996 - February 5, 2001
COASTAL SECURITIES, INC.
June 25, 1993 - June 27, 1995
FIDELITY BROKERAGE SERVICES LLC
March 13, 1992 - September 1, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 2/3/2000
Limited Representative-Equity Trader ExamCurrent Firm
COASTAL SECURITIES, INC.
CRD#: 27834 / SEC#: , 8-43227
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
