Bradley C. Williams
Professional summary
Bradley Curtis Williams was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bradley is a previously registered financial professional and started their career in finance in 2008. Prior to being barred, Bradley had worked at 7 firms, which includes J.P. MORGAN SECURITIES LLC, INVEST FINANCIAL CORPORATION, LPL FINANCIAL LLC, KEY INVESTMENT SERVICES LLC, EDWARD JONES, HSBC SECURITIES (USA) INC., CHASE INVESTMENT SERVICES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2016 - March 22, 2017
J.P. MORGAN SECURITIES LLC
October 17, 2016 - March 22, 2017
J.P. MORGAN SECURITIES LLC
April 29, 2015 - June 8, 2016
INVEST FINANCIAL CORPORATION
April 29, 2015 - June 8, 2016
INVEST FINANCIAL CORPORATION
September 16, 2014 - April 29, 2015
LPL FINANCIAL LLC
August 4, 2014 - April 29, 2015
LPL FINANCIAL LLC
September 27, 2013 - July 28, 2014
KEY INVESTMENT SERVICES LLC
April 16, 2012 - September 5, 2013
EDWARD JONES
March 5, 2012 - September 5, 2013
EDWARD JONES
August 30, 2010 - January 27, 2012
HSBC SECURITIES (USA) INC.
December 10, 2008 - August 25, 2010
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
