Frank V. 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.
Frank Victor Bradley was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1969. Frank had worked at 9 firms and has passed the Series 63, Series 3, Series 5, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 1979 - July 25, 1989
LEHMAN BROTHERS INC.
January 18, 1978 - November 26, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
March 10, 1976 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
January 22, 1974 - April 12, 1974
PIEDMONT CAPITAL CORPORATION
March 20, 1973 - July 27, 1973
FOSTER & MARSHALL INC.
November 23, 1971 - May 4, 1973
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
June 24, 1971 - December 20, 1971
April 17, 1969 - July 24, 1971
FOX-RAFF & CO 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
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 7/15/1977
AMEX Put and Call ExamSeries 1
Date: 9/8/1958
Registered Representative ExaminationSeries 00
Date: 3/25/1969
General Securities Principal ExaminationCurrent Firm
LEHMAN BROTHERS INC.
CRD#: 7506 / SEC#: , 8-12324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEHMAN BROTHERS HOLDINGS INC. | SOLE SHAREHOLDER | |
| CLARK, HOWARD LONGSTRETH JR | DIRECTOR | 47587 |
| CRUIKSHANK, THOMAS HENRY | DIRECTOR | 4708135 |
| FREIDHEIM, SCOTT JON | CO-CHIEF ADMINISTRATIVE OFFICER | 1766230 |
| FULD, RICHARD SEVERIN JR | DIRECTOR/CHAIRMAN AND CEO | 215527 |
| LOWITT, IAN THEO | CO-CHIEF ADMINISTRATIVE OFFICER | 4210205 |
| MCDADE III, HERBERT H. | PRESIDENT AND CHIEF OPERATING OFFICER | 1185218 |
| RUSSO, THOMAS ANTHONY | CHIEF LEGAL OFFICER | 3188169 |
Disclosures
| Regulatory Event | 359 |
| Civil Event | 1 |
| Arbitration | 527 |
Red Flags
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