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BF

Bradley G. Finkle

BARINGS SECURITIES
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 2663338
BF
Bradley Gordon FinkleBARINGS SECURITIES

Professional summary

Bradley Gordon Finkle, who also goes by Brad Finkle, Bradley Gordon Finkle, Bradley G Finkle, Bradley Finkle, is a registered financial professional currently at BARINGS SECURITIES LLC located in Charlotte, North Carolina.

Bradley is registered as a RR (Registered Representative) and started their career in finance in 1997. Bradley has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Aliases

Brad Finkle | Bradley Gordon Finkle | Bradley G Finkle | Bradley Finkle

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bradley Gordon Finkle's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 6, 2026 - Present

BARINGS SECURITIES LLC

Office #1: 300 S. Tryon Street Suite 2500, Charlotte, NC 28202
BD
CRD#: 36929
CHARLOTTE, NC
Past

March 23, 2023 - June 8, 2026

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
NEW YORK, NY
Past

January 3, 2017 - February 7, 2023

NUVEEN SECURITIES, LLC

BD
CRD#: 469
New York, NY
Past

March 6, 2008 - December 31, 2016

TEACHERS PERSONAL INVESTORS SERVICES, INC.

BD
CRD#: 36130
NEW YORK, NY
Past

September 28, 2004 - December 12, 2007

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

February 28, 1997 - September 23, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(7/6/2026)
RR
North Carolina
(7/6/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/8/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/27/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BARINGS SECURITIES LLC
BABSON CAPITAL SECURITIES INC | BARINGS SECURITIES LLC | BABSON SECURITIES CORPORATION | BABSON CAPITAL SECURITIES LLC

CRD#: 36929 / SEC#: , 8-47589

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Mailing Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Phone number
(704) 805-7200
Established
Delaware since 01/01/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
BARINGS LLCDIRECT OWNER106006
DINERMAN, JILL ELYSECLERK AND SECRETARY
FRANCIS, SHELDON MAURICEDIRECTOR
LLOYD, ERIC JAMESPRESIDENT2314965
TAWA, DEREK MICHAELCHIEF COMPLIANCE OFFICER3054098
THOMAS, CHRISTOPHER COLINTREASURER7050594

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.

Company Information

BARINGS SECURITIES LLC

CRD#: 36929Charlotte, NC 28202

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