Bradley M. Ducore
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.
Bradley Marc Ducore, who also goes by Brad Ducore, was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1997. Bradley had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2017 - February 12, 2019
FIS BROKERAGE & SECURITIES SERVICES LLC
January 15, 2014 - June 3, 2015
J.P. MORGAN SECURITIES LLC
June 29, 2011 - August 3, 2012
MORGAN STANLEY & CO. LLC
May 27, 2008 - June 30, 2011
CREDIT SUISSE SECURITIES (USA) LLC
January 9, 2004 - May 19, 2008
J.P. MORGAN CLEARING CORP.
January 9, 2004 - May 19, 2008
J.P. MORGAN SECURITIES LLC
January 17, 2000 - December 3, 2002
LEHMAN BROTHERS INC.
October 21, 1997 - July 9, 1998
HERZOG, HEINE, GEDULD, LLC
January 28, 1997 - July 3, 1997
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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: 7/25/2000
Limited Representative-Equity Trader ExamCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
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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