James C. 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.
James Charles Bradley was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2005 - December 31, 2011
SECURITIES SERVICE NETWORK, LLC
September 2, 1998 - December 31, 2004
OGILVIE SECURITY ADVISORS CORPORATION
October 24, 1997 - September 11, 1998
VOYA FINANCIAL ADVISORS, INC.
August 24, 1995 - October 29, 1997
OGILVIE SECURITY ADVISORS CORPORATION
February 3, 1994 - November 14, 1994
WS GRIFFITH SECURITIES, INC.
January 29, 1993 - August 29, 1995
WOODBURY FINANCIAL SERVICES, INC.
March 28, 1984 - November 23, 1985
NEW ENGLAND SECURITIES
September 23, 1982 - March 12, 1984
D H BRUSH & ASSOCIATES, INC.
May 27, 1975 - April 14, 1979
DAVID SHERMAN & COMPANY
August 1, 1973 - June 5, 1975
CORNERSTONE FINANCIAL SERVICES, 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 1
Date: 7/27/1973
Registered Representative ExaminationCurrent Firm
SECURITIES SERVICE NETWORK, LLC
CRD#: 13318 / SEC#: , 8-28980
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHARE HOLDER | |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR | 3086071 |
| GODBEE, CRYSTAL LEE | VICE PRESIDENT OF OPERATIONS | 5629010 |
| KLIMAS, RONALD THOMAS | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2321602 |
| MAAS, JONATHAN ELMER | VICE PRESIDENT, TRADING | 2793069 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PATEL, JAYAPRAKASH MOHANBHAI | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 2973297 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| WILKINSON, WADE SHANNON | PRESIDENT AND CEO | 2312703 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 5 |
| Bond | 1 |
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.
