James E. Bradford
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.
James Edward Bradford, who also goes by James Edward Bradford Jr, James Edward Bradford Jr., was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2013 - September 28, 2016
NEWPORT GROUP SECURITIES, INC.
November 19, 2013 - September 28, 2016
NEWPORT GROUP SECURITIES, INC.
June 17, 2013 - November 21, 2013
PFS INVESTMENTS INC.
June 4, 2013 - November 21, 2013
PFS INVESTMENTS INC.
December 23, 2008 - June 27, 2011
EQUITABLE ADVISORS, LLC
July 9, 2008 - June 27, 2011
EQUITABLE ADVISORS, LLC
September 23, 2003 - May 12, 2008
E*TRADE SECURITIES LLC
June 10, 1999 - July 12, 1999
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
May 16, 1998 - June 11, 1999
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
January 4, 1995 - May 28, 1998
FRANKLIN/TEMPLETON DISTRIBUTORS, 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
NEWPORT GROUP SECURITIES, INC.
CRD#: 29722 / SEC#: 801-60427, 8-44508
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWPORT GROUP HOLDINGS I, INC. | OWNER | |
| KAPLAN, ROBERT BARRY | CCO | 1286735 |
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 22,966,874,617 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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