Robert Bradley
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.
Robert Bradley, who also goes by Bob Bradley, Robert John Bradley, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2014 - August 20, 2018
CREDIT SUISSE SECURITIES (USA) LLC
November 1, 2013 - November 20, 2013
RISE FINANCIAL SERVICES, LLC
June 15, 2011 - September 16, 2013
COWEN PRIME SERVICES LLC
November 26, 2010 - May 6, 2011
CCM SECURITIES, LLC
August 2, 2000 - August 23, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
February 23, 1998 - October 30, 2000
MERIT CAPITAL ASSOCIATES, INC.
September 3, 1996 - February 25, 1998
LABRANCHE FINANCIAL SERVICES, LLC
May 16, 1996 - September 21, 1996
CIBC WORLD MARKETS CORP.
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 55
Date: 11/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 336 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
