Bradley J. Haddy
Professional summary
Bradley John Haddy was barred by the SEC 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 1980. Prior to being barred, Bradley had worked at 8 firms, which includes JOSEPHTHAL & CO. INC., KENNEDY MATHEWS LANDIS HEALY & PECORA INCORPORATED, PROTECTIVE GROUP SECURITIES CORPORATION, HAYNE MILLER FINANCIAL INC., RED ROCK INVESTMENTS INC., FIRST UNITED SECURITIES CORPORATION, IRI SECURITIES CORPORATION, ALSTEAD DEMPSEY & COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 1994 - March 22, 1996
JOSEPHTHAL & CO., INC.
October 30, 1991 - July 25, 1994
KENNEDY, MATHEWS, LANDIS, HEALY & PECORA, INCORPORATED
September 14, 1989 - September 25, 1991
PROTECTIVE GROUP SECURITIES CORPORATION
November 13, 1986 - July 6, 1989
HAYNE, MILLER FINANCIAL, INC.
December 12, 1983 - November 13, 1984
RED ROCK INVESTMENTS, INC.
March 8, 1983 - January 17, 1984
FIRST UNITED SECURITIES CORPORATION
November 5, 1982 - December 13, 1982
IRI SECURITIES CORPORATION
July 1, 1980 - December 16, 1982
ALSTEAD, DEMPSEY & COMPANY, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
JOSEPHTHAL & CO., INC.
CRD#: 3227 / SEC#: , 8-5651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHTHAL CAPITAL GROUP, INC. | PARENT | |
| AGOSTA, SALVATORE FRANK | CHIEF FINANCIAL OFFICER | 1253738 |
| FICHTNER, HENRY ARTHUR | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | 1327009 |
| FITZGERALD, PAUL HENRY | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | 812775 |
| HURLEY, KEVIN BRADY | COMPLIANCE DIRECTOR | 1293748 |
| KRONENBERG, DAVID HIRSCH | CHIEF ADMINISTRATIVE OFFICER | 1799665 |
| MATYCKAS, EDWARD STANLEY | CROP/SROP | 1405961 |
| MCCABE, DONALD GERARD | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | 1367480 |
| MCNAMARA, DENNIS PATRICK | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | 2938486 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 12 |
Red Flags
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