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BS

Bradley R. Small

BEECH HILL SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 2938499
BS

Professional summary

Bradley Raymond Small, who also goes by Brad Small, Bradley Small, is a registered financial professional currently at BEECH HILL SECURITIES, INC. located in New York, New York.

Bradley is registered as a RR (Registered Representative) and started their career in finance in 1997. Bradley has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brad Small | Bradley Small

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bradley Raymond Small's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 12, 2020 - Present

BEECH HILL SECURITIES, INC.

Office #1: 880 Third Avenue 16th Floor, New York, NY 10022
BD
CRD#: 24771
New York, NY
Past

September 7, 2022 - December 31, 2025

POINT WINDWARD ADVISORS, INC.

RIA
CRD#: 110457
New York, NY
Past

June 30, 2009 - February 6, 2020

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
NEW YORK, NY
Past

January 5, 2004 - June 8, 2009

PENN PLAZA BROKERAGE, LTD.

BD
CRD#: 22366
NEW YORK, NY
Past

July 19, 2000 - November 24, 2003

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

September 4, 1997 - July 17, 2000

PRIME CAPITAL SERVICES, INC.

BD
CRD#: 18334
POUGHKEEPSIE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(2/12/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/11/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/29/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/29/1997
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BH
BEECH HILL SECURITIES, INC.
BEECH HILL SECURITIES, INC. | CANTOR, WEISS & FRIEDNER, INC. | CANTOR & WEISS, INC. | BH INDEPENDENT ADVISOR SOLUTIONS

CRD#: 24771 / SEC#: , 8-41389

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
880 3rd Avenue 16th Floor, New York, NY 10022-4730
Mailing Address
880 3rd Avenue 16th Floor, New York, NY 10022-4730
Phone number
(212) 350-7200
Established
New York since 05/12/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
IANNUZZI, ADOLFO VINCENTCFO / CCO- MUTUAL FUNDS2874669
IANNUZZI, ADOLFO VINCENTCHIEF EXECUTIVE OFFICER2874669
IANNUZZI, ADOLFO VINCENTPRESIDENT2874669
IANNUZZI, ADOLFO VINCENTOWNER2874669
IANNUZZI, ADOLFO VINCENTCORP SECY2874669
CANTOR, PAUL SETHOWNER39844
CATANIA, FERDINANDO JRCCO - MUNICIPALS3263571
FIORINI, DONNA ANNEEXECUTIVE REPRESENTATIVE1289258
FIORINI, DONNA ANNECCO - GENERAL COMPLIANCE1289258

Disclosures

Regulatory Event6

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.

Company Information

BEECH HILL SECURITIES, INC.

CRD#: 24771New York, NY 10022

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