Otis T. Bradley
Professional summary
Otis Treat Bradley was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Otis is a previously registered financial professional and started their career in finance in 1968. Prior to being barred, Otis had worked at 7 firms, which includes GILFORD SECURITIES INCORPORATED, LAMPERT CAPITAL MARKETS INC., H.C.WAINWRIGHT & CO. LLC, ALEX. BROWN & SONS INCORPORATED, LOEB PARTNERS, HORNBLOWER WEEKS NOYES & TRASK INCORPORATED, SPENCER TRASK & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2012 - October 2, 2014
GILFORD SECURITIES INCORPORATED
August 5, 2009 - February 7, 2012
LAMPERT CAPITAL MARKETS INC.
September 15, 1992 - August 26, 2009
GILFORD SECURITIES INCORPORATED
March 3, 1989 - May 4, 1992
H.C.WAINWRIGHT & CO., LLC
April 3, 1978 - February 7, 1989
ALEX. BROWN & SONS INCORPORATED
January 18, 1978 - April 20, 1978
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
June 11, 1968 - May 5, 1977
SPENCER TRASK & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 7/26/1978
AMEX Put and Call ExamSeries 40
Date: 2/14/1966
Registered Principal ExaminationCurrent Firm
GILFORD SECURITIES INCORPORATED
CRD#: 8076 / SEC#: , 8-24230
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Arbitration | 29 |
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