Brad N. Nussbaum
Professional summary
Brad N Nussbaum was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brad is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Brad had worked at 6 firms, which includes SUMMIT BROKERAGE SERVICES INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, CITIGROUP GLOBAL MARKETS INC., PRUDENTIAL EQUITY GROUP LLC, CIBC WORLD MARKETS CORP., ROYCE INVESTMENT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2006 - June 17, 2008
SUMMIT BROKERAGE SERVICES, INC.
January 19, 2006 - December 15, 2006
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 3, 2005 - December 15, 2006
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 18, 2002 - June 20, 2005
CITIGROUP GLOBAL MARKETS INC.
October 4, 2002 - October 21, 2002
PRUDENTIAL EQUITY GROUP, LLC
January 21, 2000 - October 21, 2002
PRUDENTIAL EQUITY GROUP, LLC
April 10, 1997 - January 31, 2000
CIBC WORLD MARKETS CORP.
August 2, 1996 - October 8, 1996
ROYCE INVESTMENT GROUP, 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
Current Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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