Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brad? Claim Your ProfileBrad Mitchell Lipsig is an active investment advisor with a history of working in the financial industry since 1995. Brad is currently a registered representative with Wells Fargo Clearing Services, LLC. Brad has worked at UBS Financial Services Inc. and Citigroup Global Markets Inc. Brad has experience working at Josephthal Lyon & Ross Incorporated, Investors Depot, Inc. and Ladenburg, Thalmann & Co., Inc. Brad holds the Series 3, 7 and 63 licenses as well as the SIE and Series 65 licenses. Brad is registered to provide investment advice in Alabama, Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Iowa, Maryland, Massachusetts, Michigan, Nevada, New Jersey, New York, North Carolina, Pennsylvania, Texas, Utah, Vermont, Virginia and Wyoming. Brad is registered with the state of Florida and Texas to provide Investment Advisor services.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
03/01/2024 - Present
Wells Fargo Clearing Services, LLC (BOCA RATON FL)
NY
04/20/2007 - 03/12/2024
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
03/27/1996 - 04/30/2007
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
09/12/1995 - 03/19/1996
SMITH BARNEY INC. (NEW YORK NY)
FL
01/12/1995 - 04/17/1995
JW CHARLES SECURITIES,INC. (BOCA RATON FL)
NY
11/10/1994 - 01/17/1995
JOSEPHTHAL LYON & ROSS INCORPORATED (NEW YORK NY)
NY
10/04/1994 - 11/15/1994
INVESTORS DEPOT, INC. (UTICA NY)
NY
08/24/1994 - 10/25/1994
LADENBURG, THALMANN & CO., INC. (NEW YORK NY)
IA
Issued 06/10/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/31/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/1996
Series 3 - National Commodity Futures Examination
BC
Issued 08/23/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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