Bradford T. Darby
Professional summary
Bradford Thayer Darby, who also goes by Brad Darby, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in New York, New York.
Bradford is registered as a RR (Registered Representative) and started their career in finance in 1994. Bradford has worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Bradford Thayer Darby's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 5, 2009 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 5th Floor Dcm, New York, NY 10022Office #2: 6 Thorndal Circle Floor 2, Darien, CT 06820August 18, 2008 - October 2, 2009
SUMMIT SECURITIES GROUP LLC
July 15, 2008 - August 8, 2008
SOUTHRIDGE INVESTMENT GROUP LLC
July 24, 2006 - July 15, 2008
GUGGENHEIM SECURITIES, LLC
May 18, 2005 - July 19, 2006
AURIA SERVICES CORP.
July 24, 2003 - May 12, 2005
INTL FCSTONE CREDIT TRADING LLC
December 7, 2000 - September 30, 2003
CBA SECURITIES LLC
February 16, 2000 - October 23, 2000
GREENWICH PARTNERS, LLC
November 24, 1998 - February 10, 2000
HSBC BROKERAGE (USA) INC.
June 29, 1998 - November 23, 1998
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
July 15, 1996 - September 2, 1997
SBC WARBURG, INC.
February 12, 1996 - July 15, 1996
J.P. MORGAN SECURITIES INC.
January 28, 1994 - February 13, 1996
CHASE SECURITIES, 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
(11/25/2019)
(11/20/2012)
(11/20/2012)
(7/1/2010)
(5/16/2013)
(6/29/2017)
(11/20/2012)
(11/20/2012)
(10/11/2022)
(10/6/2025)
(9/3/2015)
(12/16/2009)
(10/5/2009)
(11/25/2019)
(10/15/2009)
(10/15/2009)
(5/18/2018)
(9/3/2015)
Exams
Cboe BYX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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