James H. Bradford
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.
James Herrin Bradford was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1968. James had worked at 6 firms and has passed the Series 65, Series 63, PC, Series 1, Series 53, Series 24, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 1994 - November 28, 2000
THE ROBINSON-HUMPHREY COMPANY, LLC
July 31, 1993 - May 7, 2002
CITIGROUP GLOBAL MARKETS INC.
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
June 16, 1981 - May 14, 1988
E. F. HUTTON & COMPANY INC
January 31, 1980 - June 25, 1981
UBS FINANCIAL SERVICES INC.
December 16, 1968 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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
PC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 12/11/1968
Registered Representative ExaminationSeries 12
Date: 5/4/1985
NYSE Branch Manager ExaminationCurrent Firm
THE ROBINSON-HUMPHREY COMPANY, LLC
CRD#: 723 / SEC#: , 8-27190
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SALOMON SMITH BARNEY INC. | OWNER | 7059 |
| CLEMENTS, GEORGE BUNCH | SENIOR VICE PRESIDENT | 48542 |
| DAY, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER | 2344142 |
| JANIAK, A.RICHARD RICHARD JR | CHIEF EXECUTIVE OFFICER AND DIRECTOR | |
| KUKLENSKI, KIRBY JUDE | EXECUTIVE VICE PRESIDENT | 732315 |
| MORGAN, MICHELLE MARIE | CROP | 2413332 |
| SORDIPREITE, VIRGINIA A | CHIEF COMPLIANCE OFFICER | 2007039 |
| STIDHAM, REESE MCGREGOR III | SENIOR VICE PRESIDENT | 808174 |
| SWIFT, HENRY WOODRUFF JR | SENIOR VICE PRESIDENT | 441328 |
| TRAYNOR, FRANCIS MOFFITT JR | SENIOR VICE PRESIDENT | 449006 |
| ZIMMERMAN, JOHN CONRAD JR | SENIOR VICE PRESIDENT | 476714 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 11 |
Red Flags
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