Michael A. Bratti
Professional summary
Michael Alexander Bratti, who also goes by Michael Alexander Bratti, Michael Bratti, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Charlotte, North Carolina.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2018. Michael has worked at 3 firms and has passed the Series 65, Series 63, Series 22TO, Series 99TO, Series 82TO, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Alexander Bratti's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 20, 2024 - Present
NUVEEN SECURITIES, LLC
Office #1: 8500 Andrew Carnegie Blvd., Charlotte, NC 28262December 23, 2021 - December 20, 2023
WELLS FARGO SECURITIES, LLC
July 3, 2018 - December 7, 2021
WELLS FARGO CLEARING SERVICES, LLC
May 31, 2018 - December 7, 2021
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/20/2024)
Exams
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 7TO
Date: 5/21/2020
General Securities Representative ExaminationFINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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