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Brad Alan Roberts

Scotia Capital (usa) Inc.

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About Brad Alan Roberts

Brad Alan Roberts is a financial advisor with Scotia Capital (usa) Inc. located in NEW YORK, NY. Brad has been in the financial industry since 2001 and has a strong track record of success. Brad holds the Series 3, 7, 24, 55, 57TO and SIE licenses. Brad is registered to offer securities in all 50 states and the District of Columbia. Brad has previously worked at Natixis Securities Americas LLC, Nomura Securities International, Inc., RBS Securities Inc., Goldman, Sachs & Co., and Morgan Stanley & Co., Incorporated.

Firm Information

Brad Roberts is currently registered with Scotia Capital (usa) Inc.. Scotia Capital (usa) Inc. is a corporation formed in 1939 and headquartered in the United States. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

108

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Brad Roberts’s Registration & Firm History

NY

05/04/2023 - Present

Scotia Capital (usa) Inc. (NEW YORK NY)

NY

09/21/2015 - 05/03/2023

NATIXIS SECURITIES AMERICAS LLC (NEW YORK NY)

NY

06/02/2014 - 07/16/2015

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

CT

01/22/2008 - 04/02/2014

RBS SECURITIES INC. (STAMFORD CT)

NY

04/25/2005 - 11/29/2007

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

10/03/2000 - 04/22/2005

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/10/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/04/2011

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/23/2004

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/06/2000

Series 3 - National Commodity Futures Examination

BC

Issued 10/02/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Brad Alan Roberts.
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