Robert J. Bradley
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.
Robert Joseph Bradley, who also goes by Bob Bradley, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 8 firms and has passed the Series 63, Series 7, Series 3 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2005 - October 29, 2012
TRUIST INVESTMENT SERVICES, INC.
March 22, 2005 - September 4, 2013
TRUIST INVESTMENT SERVICES, INC.
February 14, 1996 - September 12, 1996
BARNETT INVESTMENTS, INC.
January 15, 1988 - June 26, 1989
PRUDENTIAL EQUITY GROUP, LLC
November 5, 1982 - February 1, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 1981 - September 29, 1982
PRUDENTIAL EQUITY GROUP, LLC
May 22, 1980 - March 6, 1981
BUTCHER & SINGER INC.
October 24, 1978 - July 9, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 9, 1976 - September 1, 1978
AMERICAN EXPRESS FINANCIAL CORPORATION
December 9, 1976 - September 1, 1978
AMERIPRISE FINANCIAL SERVICES, LLC
December 9, 1976 - September 1, 1978
IDS LIFE INSURANCE COMPANY
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 1
Date: 12/4/1976
Registered Representative ExaminationCurrent Firm
TRUIST INVESTMENT SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
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.
