Brad A. Sowers
Professional summary
Brad Allen Sowers, CFP®, who also goes by Brad Sowers, is a registered financial professional currently at WOLVERINE EXECUTION SERVICES, LLC located in Chicago, Illinois.
Brad is registered as a RR (Registered Representative) and started their career in finance in 1996. Brad has worked at 5 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 3, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brad Allen Sowers's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 1, 2012 - Present
WOLVERINE EXECUTION SERVICES, LLC
Office #1: 175 W. Jackson Blvd., Suite 200, Chicago, IL 60604July 31, 2001 - April 20, 2012
ESSEX RADEZ LLC
February 19, 1997 - June 6, 2001
ROSENTHAL COLLINS SECURITIES, L.L.C
March 25, 1996 - February 25, 1997
GLOBAL INVESTMENT SERVICES, INC.
March 22, 1996 - March 25, 1996
REPUBLIC 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 7/5/2000
Limited Representative-Equity Trader ExamBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
WOLVERINE EXECUTION SERVICES, LLC
CRD#: 120719 / SEC#: , 8-65336
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOLVERINE TRADING, LLC | LIMITED LIABILITY CORPORATION | 36848 |
| CAVICKE, DAVID | CHIEF LEGAL COUNSEL | 6027073 |
| KULA, JUDITH MARIE | CHIEF FINANCIAL OFFICER FINOP | 1255502 |
| MURPHY, PATRICK TIMOTHY | CHIEF OPERATING OFFICER/EXECUTIVE REPRESENTATIVE | 2057769 |
| MURRAY, CRAIG JOHN | CHIEF COMPLIANCE OFFICER | 6136205 |
| SOWERS, BRAD ALLEN | ROSFP | 2530780 |
Disclosures
| Regulatory Event | 43 |
Red Flags
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