Bradford D. Swords
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.
Bradford Daniel Swords, who also goes by Brad Swords, was a registered financial professional .
Bradford is a previously registered financial professional and started their career in finance in 1998. Bradford had worked at 6 firms and has passed the Series 63, Series 55, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2011 - April 13, 2012
RODMAN & RENSHAW, LLC
January 15, 2008 - May 27, 2011
HUDSON SECURITIES,INC.
March 5, 2007 - January 25, 2008
G1 EXECUTION SERVICES, LLC
January 6, 2004 - November 6, 2006
WELLS FARGO SECURITIES, LLC
October 12, 1999 - November 13, 2003
OLD MUTUAL INVESTMENT PARTNERS
July 27, 1998 - January 22, 1999
UAM FUND DISTRIBUTORS, 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 55
Date: 2/23/2005
Limited Representative-Equity Trader ExamCurrent Firm
RODMAN & RENSHAW, LLC
CRD#: 16415 / SEC#: , 8-33862
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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