Bradley P. Adams
Professional summary
Bradley Paul Adams was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bradley is a previously registered financial advisor and started their career in finance in 1981. Prior to being barred, Bradley had worked at 4 firms, which includes BROOKSTREET SECURITIES CORPORATION, UBS FINANCIAL SERVICES INC., PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2002 - April 25, 2003
BROOKSTREET SECURITIES CORPORATION
August 29, 1995 - April 25, 2003
BROOKSTREET SECURITIES CORPORATION
July 23, 1992 - May 18, 1995
UBS FINANCIAL SERVICES INC.
July 24, 1985 - July 8, 1992
PRUDENTIAL EQUITY GROUP, LLC
August 18, 1981 - August 1, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
Red Flags
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