Bradley Smith
Professional summary
Bradley Smith, who also goes by Brad Smith, is a registered financial professional currently at MACQUARIE CAPITAL (USA) INC. located in Chicago, Illinois.
Bradley is registered as a RR (Registered Representative) and started their career in finance in 2022. Bradley has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Bradley Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 29, 2022 - Present
MACQUARIE CAPITAL (USA) INC.
Office #1: One North Wacker Drive, Chicago, IL 60606State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/12/2023)
(2/14/2023)
Exams
Series 79TO
Date: 4/29/2022
Investment Banking Registered Representative ExaminationFINRA
Current Firm
MACQUARIE CAPITAL (USA) INC.
CRD#: 36368 / SEC#: , 8-47198
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
Red Flags
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