Bradley T. Katsuyama
Professional summary
Bradley Toshio Katsuyama, who also goes by Brad Katsuyama, is a registered financial professional currently at IEX SERVICES LLC located in New York, New York and IEX DAP LLC located in New York, New York.
Bradley is registered as a RR (Registered Representative) and started their career in finance in 2001. Bradley has worked at 4 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Bradley Toshio Katsuyama's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 17, 2013 - Present
IEX SERVICES LLC
Office #1: 3 World Trade Center 175 Greenwich Street 58th Floor, New York, NY, 10007Office #2: 3 World Trade Ctr 175 Greenwich Street 58th Floor, New York, NY, 10007November 4, 2022 - Present
IEX DAP LLC
Office #1: 3 World Trade Center 175 Greenwich Street 58th Floor, New York, NY, 10007Office #2: 3 World Trade Center 175 Greenwich Street 58th Floor, New York, NY, 10007February 29, 2008 - March 2, 2012
RBC CAPITAL MARKETS, LLC
February 6, 2004 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
March 25, 2002 - February 6, 2004
RBC CAPITAL MARKETS, LLC
December 19, 2001 - March 27, 2002
RBC CAPITAL MARKETS CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/15/2013)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 1/10/2002
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
IEX DAP LLC
CRD#: 318014 / SEC#: , 8-70869
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IEX DAP GROUP LLC | PARENT | |
| KATSUYAMA, BRADLEY TOSHIO | PRESIDENT | 4463961 |
| ASARE, ALPHONSE KWESI | PRINCIPAL OPERATIONS OFFICER | 6140970 |
| DUKESHERER, JACK ROBERT | CHIEF COMPLIANCE OFFICER | 5671449 |
| OCONNELL, TERRANCE DANIEL | FINANCIAL AND OPERATIONS PRINCIPAL & PRINCIPAL FINANCIAL OFFICER | 4898427 |
| RESNICK, CRAIG | CHIEF FINANCIAL OFFICER | 5718420 |
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.
