Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bradley? Claim Your ProfileBradley Schwartz is an investment advisor representative at CLSA Americas, LLC. Bradley has been in the industry since 2007. Bradley is registered in 53 states and has 3 product, 3 state, and 3 principal exams. Bradley is also registered in 3 states for Investment Advisor activities and is currently licensed to provide investment advisory services in California, Connecticut, and Texas. Bradley has previous experience at HSBC Securities (USA) Inc and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
Referrals to others; research product & arrangement and referral service
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.
Earned based on transactions or products sold.
Negotiated rates for research product
1
2
NY
12/21/2022 - Present
Clsa Americas, LLC (NEW YORK NY)
NY
09/07/2017 - 01/29/2020
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
11/16/2007 - 11/19/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
02/21/2007 - 07/26/2007
PYXIS SECURITIES, LLC (FAIR HAVEN NJ)
NY
08/18/1993 - 03/02/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 02/27/2023
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 11/07/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/02/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/27/2022
Series 24 - General Securities Principal Examination
BC
Issued 08/28/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/09/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2017
Series 7 - General Securities Representative Examination
BC
Issued 07/11/2000
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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