John R. Bragg
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.
John Russell Bragg, who also goes by J Russell Bragg, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 13 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 1989 - December 5, 1989
HAPOALIM SECURITIES USA, INC.
February 8, 1989 - April 20, 1989
JOSEPHTHAL & CO., INC.
January 3, 1989 - March 14, 1989
VANDERBILT SECURITIES, INC.
November 4, 1988 - November 23, 1988
FIRST AMERICAN CAPITAL RESOURCES, INC.
January 6, 1988 - August 5, 1988
HAMILTON INVESTMENTS, INC.
August 19, 1987 - December 12, 1987
FIRST AMERICAN CAPITAL RESOURCES, INC.
November 10, 1986 - April 7, 1987
CIBC WORLD MARKETS CORP.
May 16, 1985 - January 9, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
March 18, 1985 - April 19, 1985
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
June 13, 1984 - September 11, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 3, 1984 - June 18, 1984
E. F. HUTTON & COMPANY INC
October 12, 1983 - March 13, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
June 15, 1982 - November 10, 1983
MORGAN STANLEY DW INC.
July 20, 1981 - June 24, 1982
UBS FINANCIAL SERVICES INC.
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
HAPOALIM SECURITIES USA, INC.
CRD#: 266 / SEC#: , 8-3018
Contact information
Documents
Disclosures
| Regulatory Event | 32 |
| Civil Event | 1 |
| Arbitration | 6 |
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.
