Thomas 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.
Thomas Charles Bradley, who also goes by Tom Bradley, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 14 firms and has passed the Series 63 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
October 30, 1998 - April 7, 1999
CAPITAL BROKERAGE CORPORATION
October 1, 1997 - October 23, 1998
OSAIC FS, INC.
April 10, 1997 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
November 17, 1995 - February 12, 1997
SECURIAN FINANCIAL SERVICES, INC.
August 15, 1994 - September 20, 1995
ADVANTAGE CAPITAL CORPORATION
November 17, 1992 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
October 25, 1991 - November 3, 1992
GUARDIAN INVESTOR SERVICES LLC
October 5, 1990 - August 20, 1991
THE ADVISORS GROUP, INC.
August 11, 1989 - September 14, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
August 11, 1989 - September 14, 1990
MONY SECURITIES CORPORATION
October 9, 1987 - November 10, 1988
MUTUAL SERVICE CORPORATION
April 27, 1984 - September 8, 1987
VOYA FINANCIAL ADVISORS, INC.
October 20, 1980 - March 15, 1983
EQUITABLE ADVISORS, LLC
June 24, 1974 - March 15, 1983
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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: 6/20/1974
Registered Representative ExaminationCurrent Firm
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
