Michael A. Bratti
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.
Michael Alexander Bratti, who also goes by Michael Alexander Bratti, Michael Bratti, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2018. Michael had 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.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2024 - September 8, 2026
NUVEEN SECURITIES, LLC
December 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
Exams
What does exam status mean?
Series 22TO
Passed: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 99TO
Passed: 1/2/2023
Operations Professional ExaminationSeries 82TO
Passed: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 7TO
Passed: 5/21/2020
General Securities Representative ExaminationSeries 6
Passed: 5/31/2018
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
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.
