James E. Brady
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.
James Edward Brady, who also goes by James E Brady, Jim Brady, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1980. James had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2016 - September 20, 2016
WADDELL & REED
December 22, 2015 - August 12, 2016
PATRICK CAPITAL MARKETS, LLC
September 25, 2012 - January 7, 2014
MCINTYRE CAPITAL PARTNERS, LLC
November 3, 2011 - August 1, 2012
PATRICK CAPITAL MARKETS, LLC
July 11, 2008 - October 4, 2011
G.RESEARCH, LLC
October 2, 2001 - April 1, 2008
TCW FUNDS DISTRIBUTORS LLC
April 1, 1998 - January 23, 2001
FOUNDERS ASSET MANAGEMENT LLC
July 24, 1996 - April 1, 1998
FOUNDERS ASSET MANAGEMENT, INC.
May 31, 1995 - May 7, 1996
AEGON USA SECURITIES INC.
April 7, 1994 - February 14, 1995
ALLIANCEBERNSTEIN INVESTMENTS, INC.
July 17, 1992 - March 10, 1994
FS FUNDS DISTRIBUTOR, INC.
June 9, 1987 - November 4, 1991
THRIVENT INVESTMENT MANAGEMENT INC.
July 25, 1983 - February 7, 1990
INTEGRATED RESOURCES MARKETING, INC.
July 19, 1983 - June 24, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
December 30, 1980 - May 20, 1983
PRUDENTIAL EQUITY GROUP, 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
Series 15
Date: 3/7/1983
Foreign Currency Options ExaminationCurrent Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
