Bradley E. Morgan
Professional summary
Bradley Eugene Morgan was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bradley is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Bradley had worked at 4 firms, which includes ALLSTATE FINANCIAL SERVICES LLC, GEO SECURITIES INC., MORGAN STANLEY DW INC., CETERA FINANCIAL SPECIALISTS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2006 - March 2, 2007
ALLSTATE FINANCIAL SERVICES, LLC
January 16, 2003 - January 24, 2006
GEO SECURITIES, INC.
July 19, 2001 - January 14, 2003
MORGAN STANLEY DW INC.
July 19, 2001 - January 14, 2003
MORGAN STANLEY DW INC.
January 28, 2000 - April 27, 2001
CETERA FINANCIAL SPECIALISTS 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
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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