Bradley A. Banken
Professional summary
Bradley Aaron Banken, who also goes by Bradley Banken, is a registered financial advisor currently at ROSSBY FINANCIAL, LLC located in Pittstown, New Jersey.
Bradley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Bradley has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, Series 82TO, Series 57TO, Series 6TO, Series 99TO, Series 22TO, SIE, Series 55, Series 7, Series 14, Series 26, Series 39 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Bradley Aaron Banken's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 16, 2026 - Present
ROSSBY FINANCIAL, LLC
July 27, 2022 - June 16, 2026
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
June 3, 2022 - June 16, 2026
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 20, 2019 - August 3, 2021
WELLS FARGO SECURITIES, LLC
November 5, 2018 - August 21, 2019
DEUTSCHE BANK SECURITIES INC.
August 5, 2014 - November 6, 2018
J.P. MORGAN SECURITIES LLC
September 24, 2013 - July 3, 2014
RBC CAPITAL MARKETS, LLC
August 30, 2006 - August 14, 2013
UBS SECURITIES LLC
Primary Firm SEC Registration
ROSSBY FINANCIAL, LLC
CRD#: 324631 / SEC#: 801-127370
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/17/2026)
(6/16/2026)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 55
Date: 9/26/2006
Limited Representative-Equity Trader ExamCurrent Firm
ROSSBY FINANCIAL, LLC
CRD#: 324631 / SEC#: 801-127370
Contact information
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 804 |
| AUM (Assets Under Management) | $ 358,627,117 |
Red Flags
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