Bradley R. Dirheimer
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.
Bradley Ray Dirheimer, who also goes by Brad Ray Dirheimer, Brad Dirheimer, was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 2008. Bradley had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2018 - February 8, 2019
L.M. KOHN & COMPANY
August 16, 2018 - February 8, 2019
L.M. KOHN & COMPANY
August 28, 2015 - July 31, 2018
FIDELITY BROKERAGE SERVICES LLC
July 23, 2014 - July 13, 2015
FIFTH THIRD SECURITIES, INC.
July 23, 2014 - July 13, 2015
FIFTH THIRD SECURITIES, INC.
August 15, 2013 - July 22, 2014
WELLS FARGO CLEARING SERVICES, LLC
August 15, 2013 - July 22, 2014
WELLS FARGO CLEARING SERVICES, LLC
June 10, 2013 - August 16, 2013
FIFTH THIRD SECURITIES, INC.
July 9, 2011 - August 16, 2013
FIFTH THIRD SECURITIES, INC.
July 16, 2008 - July 19, 2011
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
L.M. KOHN & COMPANY
CRD#: 27913 / SEC#: 801-38116, 8-43303
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
Current Firm
L.M. KOHN & COMPANY
CRD#: 27913 / SEC#: 801-38116, 8-43303
Contact information
SEC notice filing (5 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,799 |
| AUM (Assets Under Management) | $ 2,091,208,747 |
Disclosures
| Regulatory 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.
