Stephen A. 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.
Stephen Andrew Bradley was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1972. Stephen had worked at 7 firms and has passed the Series 65, Series 63, Series 5, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2015 - December 31, 2025
GENCAP PORTFOLIO MANAGEMENT
January 21, 2015 - September 15, 2015
CROSSPOINT CAPITAL MANAGEMENT
January 20, 2010 - August 18, 2014
QUANTUM CAPITAL MANAGEMENT
May 25, 2007 - December 31, 2008
QUANTUM CAPITAL MANAGEMENT
October 18, 1996 - February 26, 2007
QUANTUM CAPITAL MANAGEMENT CO
February 24, 1978 - July 1, 1997
MORGAN STANLEY DW INC.
March 9, 1976 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
May 18, 1972 - April 13, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
GENCAP PORTFOLIO MANAGEMENT
CRD#: 269910 / SEC#: 801-106577
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: 11/6/1981
Interest Rate Options ExaminationSeries 1
Date: 5/17/1972
Registered Representative ExaminationSeries 40
Date: 9/23/1976
Registered Principal ExaminationCurrent Firm
GENCAP PORTFOLIO MANAGEMENT
CRD#: 269910 / SEC#: 801-106577
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 546 |
| AUM (Assets Under Management) | $ 396,253,659 |
Red Flags
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