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GB

Geoffrey G. Bradley

CARTER CAPITAL
Southport, CT 06890
Some features on this profile are disabled
CRD#: 7525202
GB

Professional summary


Geoffrey G Bradley, who also goes by Geoffrey G Bradely, Geoffrey Bradley, is a registered financial professional currently at CARTER CAPITAL CORPORATION located in Southport, Connecticut.

Geoffrey is registered as a RR (Registered Representative) and started their career in finance in 2022. Geoffrey has worked at 1 firm and has passed the Series 63, Series 82TO and SIE exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Geoffrey G Bradely | Geoffrey Bradley

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Geoffrey G Bradley's CRS (Customer Relationship Summary).

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

May 27, 2022 - Present

CARTER CAPITAL CORPORATION

Office #1: 99 Harbor Road The Tide Mill Building, Southport, CT 06890
BD
CRD#: 23521
Southport, CT

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(12/20/2023)
RR
Connecticut
(8/26/2022)
RR
Florida
(12/20/2023)
RR
Georgia
(12/20/2023)
RR
Illinois
(12/20/2023)
RR
Massachusetts
(12/20/2023)
RR
New York
(12/20/2023)
RR
Ohio
(12/20/2023)
RR
Rhode Island
(1/22/2025)
RR
Texas
(12/20/2023)

Exams


State Security Law Exam
RR
Series 63
Date: 8/26/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 5/27/2022
Limited Representative-Private Securities Offerings
General Industry/Product Exam
SRO Registrations
RR
FINRA

Current Firm


CC
CARTER CAPITAL CORPORATION
CARTER & COMPANY | CARTER CAPITAL CORPORATION

CRD#: 23521 / SEC#: , 8-40524

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information


Main Address
99 Harbor Road The Tide Mill Building, Southport, CT 06890
Mailing Address
99 Harbor Road The Tide Mill Building, Southport, CT 06890
Phone number
(203) 203-0053
Established
Connecticut since 08/06/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)


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Documents


Latest Form ADV

Direct owners and executive officers


NamePositionCRD#
CARTER, MICHAEL RICHARDPRESIDENT, FINOP, CHIEF COMPLIANCE OFFICER, MANAGING PARTNER1899687
GOODRICH, RAMSEY WOODWARDOWNER, MANAGING PARTNER2746028
HANNAFIN, TERENCE PATRICKPARTNER & MANAGING DIRECTOR3174779

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.

Company Information


CARTER CAPITAL CORPORATION

CRD#: 23521Southport, CT 06890

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