Bradley G. Griffith
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 Gene Griffith was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 2011. Bradley had worked at 2 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2012 - November 1, 2013
DRO-WST TRADING, LLC
October 31, 2011 - June 12, 2012
CASSANDRA TRADING GROUP, LLC
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
DRO-WST TRADING, LLC
CRD#: 121439 / SEC#: , 8-65418
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESTCOTT, MARK EDWARD | SERIES 24 PRINCIPAL, CLASS A MEMBER, CCO | 1305966 |
| DALESANDRO, MICHAEL ANTHONY | CLASS A MEMBER | 2359354 |
| CARROLL, JOHN DAVID | SERIES 24 PRINCIPAL | 5823357 |
| DEFONSO, LEONARD MICHAEL | CLASS B MEMBER | 5908879 |
| FLEISCHMAN, PAUL | CLASS B MEMBER | |
| GNAP, PAUL JOSEPH | CLASS B MEMBER | |
| GRIFFITH, BRADLEY GENE | CLASS B MEMBER | 2399832 |
| HEILMANN, MATTHIAS LOTHAR | CLASS B MEMBER | 6002068 |
| KOLE, RYAN MICHAEL | CLASS B MEMBER | 4711203 |
| ODONNELL, LUKE GERARD JR | CLASS B MEMBER | 2373517 |
| PINNACLE TRADING, LLC | CLASS B MEMBER | |
| SINAPOGLOU, MARIOS KONSTANTINOS | CLASS B MEMBER | 2672554 |
| SOMMERFIELD, TIMOTHY MACK | CLASS B MEMBER | |
| VISWANATHAN, SRINIVASAN | CLASS B MEMBER | 2590014 |
| WALSH, JAMES MICHAEL | CLASS B MEMBER | 3105276 |
Disclosures
| Regulatory Event | 11 |
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.
