Rick L. Bradley
Professional summary
Rick Louis Bradley JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rick is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Rick had worked at 1 firm, which includes PRUDENTIAL RETIREMENT BROKERAGE SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2001 - November 18, 2002
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
CRD#: 40596 / SEC#: , 8-49085
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRUDENTIAL RETIREMENT FINANCIAL SERVICES HOLDING LLC | SOLE SHAREHOLDER | |
| BRONSON, JOHN LINDLEY | SECRETARY | 4123239 |
| CHAPLIN, C EDWARD | TREASURER | 2744560 |
| CRAWFORD, GARY RAYMOND JR | CHIEF FINANCIAL OFFICER, ASSISTANT TREASURER, SROP | 2667198 |
| ERICKSON, JOYCE BUDD | CROP AND VICE PRESIDENT | 604007 |
| GUNIA, ROBERT FRANCIS | DIRECTOR | 1367737 |
| KIM, JOHN YONG | PRESIDENT, DIRECTOR | 2010539 |
| MARCKS, CHRISTINE CANNON | DIRECTOR | 2801693 |
| MCGUIRE, CARL LOUIS | CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT | 2316372 |
| SLEYSTER, SCOTT GARRETT | DIRECTOR | 3237223 |
| ZARELLI, MICHAEL ROBERT | DIRECTOR | 1780900 |
Red Flags
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