Bradford D. Klaas
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 Duane Klaas, who also goes by Brad Klaas, was a registered financial professional .
Bradford is a previously registered financial professional and started their career in finance in 2001. Bradford had worked at 3 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2021 - December 24, 2024
AQUAS FINANCIAL, LLC
August 19, 2008 - December 20, 2011
BNP PARIBAS PRIME BROKERAGE, INC.
November 30, 2001 - October 1, 2008
BANC OF AMERICA SECURITIES LLC
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 7TO
Date: 6/2/2021
General Securities Representative ExaminationCurrent Firm
AQUAS FINANCIAL, LLC
CRD#: 311274 / SEC#: , 8-70610
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAIN STREET TRUST | SHAREHOLDER | |
| WAYNE WURTSBAUGH 2018 FAMILY DYNASTY TRUST | SHAREHOLDER | |
| ALSEDEK, STEVEN MICHAEL | CHIEF COMPLIANCE OFFICER (CCO), CHIEF RISK OFFICER (CRO), ANTI-MONEY LAUNDERING OFFICER (AMLO) | 2520569 |
| ALSEDEK, STEVEN MICHAEL | COO, POO | 2520569 |
| ALSEDEK, STEVEN MICHAEL | CHIEF FINANCIAL OFFICER (CFO), FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO) | 2520569 |
| JANOWSKI, JEFF | HEAD OF ELECTRONIC TRADING / MARGIN PRINCIPAL / REGISTERED OPTIONS PRINCIPAL / MUNICIPAL SECURITIES PRINCIPAL | 5703929 |
| WURTSBAUGH, WAYNE ALAN | CHIEF TECHNOLOGY OFFICER | 2629833 |
| WURTSBAUGH, WAYNE ALAN | TRUSTEE / CHIEF EXECUTIVE OFFICER | 2629833 |
Red Flags
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