Bradford H. Smith
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.
Bradford Harrell Smith, who also goes by Brad Smith, was a registered financial professional .
Bradford is a previously registered financial professional and started their career in finance in 1978. Bradford had worked at 10 firms and has passed the Series 63, SIE, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2011 - July 17, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 10, 2006 - December 10, 2010
EQUITABLE DISTRIBUTORS, LLC
May 1, 2006 - August 24, 2006
MML DISTRIBUTORS, LLC
December 31, 2000 - December 7, 2005
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 12, 1998 - December 31, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 1, 1998 - December 31, 2000
OSAIC FA, INC.
July 7, 1995 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 15, 1993 - April 28, 1995
VOYA FINANCIAL PARTNERS, LLC
October 7, 1986 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
July 3, 1986 - February 4, 1987
CONSECO FINANCIAL SERVICES, INC.
October 19, 1984 - July 3, 1986
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
March 14, 1978 - November 18, 1982
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
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: 3/4/1978
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
