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BD

Bradford R. Dooley

GAR WOOD SECURITIES
NAPERVILLE, IL 60563
Some features on this profile are disabled
CRD#: 4308078
BD

Professional summary

Bradford R Dooley, who also goes by Bradford R. Dooley, is a registered financial professional currently at GAR WOOD SECURITIES, LLC located in Naperville, Illinois and DOUGALL & ASSOCIATES INC. located in Saint John, Indiana.

Bradford is registered as a RR (Registered Representative) and started their career in finance in 2001. Bradford has worked at 21 firms and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bradford R. Dooley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bradford R Dooley's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 24, 2009 - Present

GAR WOOD SECURITIES, LLC

Office #1: 1250 East Diehl Road Suite 115, Naperville, IL 60563
BD
CRD#: 138033
NAPERVILLE, IL
Current

January 30, 2014 - Present

DOUGALL & ASSOCIATES INC.

Office #1: 8883 Winding Trail, Saint John, IN 46373
BD
CRD#: 42324
Saint John, IN
Past

September 12, 2024 - January 23, 2025

TZERO DIGITAL ASSET SECURITIES, LLC

BD
CRD#: 316189
JERSEY CITY, NJ
Past

June 29, 2023 - July 7, 2023

SPEEDROUTE LLC

BD
CRD#: 104138
JERSEY CITY, NJ
Past

June 29, 2023 - December 20, 2024

TZERO MARKETS

BD
CRD#: 304537
JERSEY CITY, NJ
Past

June 29, 2023 - January 23, 2025

TZERO SECURITIES, LLC

BD
CRD#: 123421
JERSEY CITY, NJ
Past

September 18, 2017 - October 23, 2025

ALPHA TRADING L.P.

BD
CRD#: 289434
HERZLIYA PITUACH,
Past

November 6, 2015 - August 30, 2017

XAMBALA CAPITAL, LLC

BD
CRD#: 158871
SUNNYVALE, CA
Past

November 14, 2012 - February 15, 2025

HB SECURITIES, LLC

BD
CRD#: 140356
NEWPORT BEACH, CA
Past

February 21, 2012 - September 10, 2012

XAMBALA CAPITAL, LLC

BD
CRD#: 158871
SUNNYVALE, CA
Past

October 4, 2010 - February 14, 2017

SUPERFUND USA, LLC

BD
CRD#: 147069
CHICAGO, IL
Past

August 24, 2010 - March 7, 2012

ARBOR RESEARCH & TRADING, LLC

BD
CRD#: 21313
LAKE BARRINGTON, IL
Past

April 28, 2009 - June 15, 2010

BEREAN CAPITAL INCORPORATED

BD
CRD#: 24915
CHICAGO, IL
Past

May 28, 2007 - February 25, 2010

M1 ENERGY CAPITAL SECURITIES, LLC

BD
CRD#: 127298
CHICAGO, IL
Past

March 21, 2007 - August 2, 2010

DANEVEST LLC

BD
CRD#: 142007
MIDDLETON, WI
Past

January 29, 2004 - October 17, 2006

ADVANCED EQUITIES, INC.

BD
CRD#: 35545
CHICAGO, IL
Past

December 6, 2002 - June 15, 2006

ZEPHYR TRADING LLC

BD
CRD#: 104252
WINNETKA, IL
Past

July 24, 2002 - May 19, 2003

UTC FINANCIAL SERVICES USA, INC.

BD
CRD#: 119529
PORT OF SPAIN,
Past

February 27, 2002 - February 19, 2008

BOSTON CABOT LLC

BD
CRD#: 115861
CHICAGO, IL
Past

November 15, 2001 - November 17, 2008

SUPERFUND ASSET MANAGEMENT INC.

BD
CRD#: 112246
CHICAGO, IL
Past

October 26, 2001 - January 9, 2004

EQUITY FINANCIAL MANAGEMENT SERVICES, INC.

BD
CRD#: 115162
CHICAGO, IL
Past

June 11, 2001 - October 6, 2015

NMS CAPITAL SECURITIES, LLC

BD
CRD#: 107401
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/25/2000
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Texas, Inc.

Current Firm

D&
DOUGALL & ASSOCIATES INC.
DOUGALL & ASSOCIATES INC.

CRD#: 42324 / SEC#: , 8-49806

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
8883 Winding Trail, Saint John, IN 46373
Mailing Address
8883 Winding Trail, Saint John, IN 46373
Phone number
(312) 663-2670
Established
Illinois since 11/18/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BLUETT, CHAD MATTHEWPRESIDENT AND CHIEF EXECUTIVE OFFICER5513492
BLUETT, CHAD MATTHEWCHIEF COMPLIANCE OFFICER5513492
SLOAN NOWAK, JACQUELINE LEEFINOP2717305

Disclosures

Regulatory Event3

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.

Company Information

DOUGALL & ASSOCIATES INC.

CRD#: 42324Naperville, IL 60563

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