Bradford T. Ainslie
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.
Bradford Thomas Ainslie, who also goes by Brad Ainslie, Bradford Thomas Ainslie, was a registered financial professional .
Bradford is a previously registered financial professional and started their career in finance in 2001. Bradford had worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, Series 3, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2022 - November 11, 2022
BTIG, LLC
September 30, 2013 - July 1, 2015
AMTD FINANCIAL MARKETS (USA) LLC
January 18, 2002 - June 28, 2011
CANTOR FITZGERALD & CO.
July 30, 2001 - January 3, 2002
MORGAN STANLEY DW INC.
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 7TO
Date: 4/20/2022
General Securities Representative ExaminationCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| 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.
