Brad M. Gute
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.
Brad Mager Gute, who also goes by Brad M Gute, was a registered financial professional .
Brad is a previously registered financial professional and started their career in finance in 1981. Brad had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2019 - February 24, 2022
LEBENTHAL FINANCIAL SERVICES, INC.
October 16, 2006 - January 2, 2018
NATIONWIDE PLANNING ASSOCIATES INC.
March 8, 2004 - October 16, 2006
WHITE MOUNTAIN CAPITAL, LLC
June 7, 1989 - April 7, 2004
MML INVESTORS SERVICES, LLC
August 3, 1984 - May 22, 1989
NATHAN & LEWIS SECURITIES, INC.
June 14, 1984 - August 27, 1984
FORESTERS FINANCIAL SERVICES, INC.
February 19, 1981 - April 13, 1984
NORTHWESTERN MUTUAL INVESTMENT 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
Current Firm
LEBENTHAL FINANCIAL SERVICES, INC.
CRD#: 137988 / SEC#: , 8-67140
Contact information
FINRA licenses (39 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 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.
