Bradley W. Smith
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.
Bradley Wallace Smith, who also goes by Bradley Wallace Smith, was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1970. Bradley had worked at 10 firms and has passed the Series 65, Series 63, Series 5, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2011 - December 31, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 11, 2010 - August 26, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 11, 2010 - August 26, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 28, 1995 - January 15, 2010
UBS FINANCIAL SERVICES INC.
January 28, 1995 - January 15, 2010
UBS FINANCIAL SERVICES INC.
November 23, 1993 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
July 31, 1993 - November 19, 1993
CITIGROUP GLOBAL MARKETS INC.
September 17, 1979 - July 31, 1993
LEHMAN BROTHERS INC.
April 4, 1978 - September 17, 1979
LOEB PARTNERS
June 24, 1976 - February 13, 1977
KIDDER, PEABODY & CO., INCORPORATED
February 24, 1972 - May 8, 1976
CAZENOVE INCORPORATED
April 15, 1970 - February 13, 1972
DREXEL FIRESTONE INCORPORATED
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 5
Date: 3/15/1982
Interest Rate Options ExaminationPC
Date: 3/6/1979
AMEX Put and Call ExamSeries 1
Date: 12/16/1968
Registered Representative ExaminationSeries 00
Date: 6/14/1973
General Securities Principal ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
