Doran E. Bradberry
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.
Doran Estus Bradberry JR was a registered financial professional .
Doran is a previously registered financial professional and started their career in finance in 1978. Doran had worked at 11 firms and has passed the Series 63, Series 65, Series 7TO, Series 52TO, Series 99TO, SIE, Series 5, Series 10, Series 9, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2017 - December 31, 2022
CND FINANCIAL LTD.
March 9, 2017 - September 18, 2017
FIRST CANTERBURY SECURITIES, INC.
May 12, 2008 - March 18, 2015
SAMCO CAPITAL MARKETS, INC.
December 19, 2005 - August 3, 2007
KESTRA INVESTMENT SERVICES, LLC
November 9, 2005 - August 3, 2007
KESTRA INVESTMENT SERVICES, LLC
February 25, 2004 - November 17, 2005
UBS FINANCIAL SERVICES INC.
August 14, 2000 - November 17, 2005
UBS FINANCIAL SERVICES INC.
November 17, 1997 - August 14, 2000
J.C. BRADFORD & CO.
March 17, 1997 - July 14, 1997
ALLIANCE SECURITIES CORP.
March 20, 1987 - August 7, 1997
BOK FINANCIAL SECURITIES, INC.
November 25, 1985 - August 11, 1986
HILLTOP SECURITIES INC.
January 23, 1985 - October 28, 1985
PEREGRINE SECURITIES CORPORATION
June 8, 1978 - January 11, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 5
Date: 10/6/1981
Interest Rate Options ExaminationCurrent Firm
CND FINANCIAL LTD.
CRD#: 132864 / SEC#: , 8-66645
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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