Bradley W. Duke
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 Wayne Duke was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 2000. Bradley had worked at 7 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - November 9, 2012
VIRTU AMERICAS LLC
January 13, 2009 - January 3, 2011
KNIGHT DIRECT LLC
July 28, 2008 - January 13, 2009
KNIGHT CAPITAL AMERICAS, L.P.
April 19, 2006 - June 23, 2008
JEFFERIES EXECUTION SERVICES, INC.
April 19, 2006 - June 23, 2008
JEFFERIES LLC
January 14, 2002 - April 18, 2006
JEFFERIES EXECUTION SERVICES, INC.
November 2, 2001 - January 14, 2002
LAWRENCE HELFANT LLC
November 17, 2000 - November 1, 2001
AMERICAN THIRD MARKET CO., 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 55
Date: 9/26/2001
Limited Representative-Equity Trader ExamCurrent Firm
VIRTU AMERICAS LLC
CRD#: 149823 / SEC#: , 8-68193
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 57 |
| Civil Event | 1 |
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.
