Patrick A. Brady
Professional summary
Patrick Andrew Brady was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Patrick is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Patrick had worked at 3 firms, which includes VESTAX SECURITIES CORPORATION, MORGAN STANLEY DW INC., CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 1997 - August 31, 1998
VESTAX SECURITIES CORPORATION
July 29, 1996 - December 15, 1997
MORGAN STANLEY DW INC.
October 14, 1994 - August 21, 1996
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
Current Firm
VESTAX SECURITIES CORPORATION
CRD#: 10332 / SEC#: , 8-27024
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VESTAX CAPITAL CORPORATION | SOLE SHAREHOLDER | |
| DUNSTAN, RICHARD VAUGHAN | MUNICIPAL PRINCIPAL | 1632092 |
| DUNSTAN, RICHARD VAUGHAN | SROP/CROP | 1632092 |
| HARRISON, BRETT LAMAR | COO, SENIOR VICE PRESIDENT | 4032238 |
| MCEVOY, PATRICK HENRY | PRESIDENT, CEO | 1796543 |
| RESSLER, SANDER JAMES | CCO | 1455553 |
| STEWART, EVERETT PAUL JR | CFO | 2025188 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
Red Flags
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