Brad B. Fletcher
Professional summary
Brad B Fletcher 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 professional and started their career in finance in 1996. Prior to being barred, Brad had worked at 3 firms, which includes PREFERRED SECURITIES GROUP INC., PARAGON CAPITAL MARKETS INC., RICKEL & ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 1997 - October 2, 1997
PREFERRED SECURITIES GROUP, INC.
May 6, 1997 - July 1, 1997
PARAGON CAPITAL MARKETS, INC.
September 17, 1996 - May 21, 1997
RICKEL & ASSOCIATES, 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
PREFERRED SECURITIES GROUP, INC.
CRD#: 35704 / SEC#: , 8-46946
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STOCNET CORPORATION | SHAREHOLDER | |
| GENNA, JOHN VINCENT JR | SHAREHOLDER | 2765236 |
| VARANO, NICHOLAS | SHAREHOLDER | 4246252 |
| BADGER, BERKLEY CREIGHTON | MUNI PRINCIPAL | 713972 |
| HOHMAN, MICHAEL JAMES | FIN/OP | 3031942 |
| LESSINGER, VICTOR ALAN | PRESIDENT, CHIEF COMPLIANCE OFFICER | 830821 |
| MCLEOD, GREGORY MALCOLM | SENIOR OPTION PRINCIPAL | 2741097 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 5 |
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.
