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Alfred Bernard Brady

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Information

Other Names: Alfred Bernard Brady III, Trey Brady
Firm:
Additional Firm:
Type: Dual Registration
Description

Alfred Brady is a financial professional at Purshe Kaplan Sterling Investments, a broker-dealer with 1,000 registered representatives nationwide. Alfred is also registered with Mbr Financial, a $444M RIA based in Houston, TX. Alfred has held an industry securities registration for 23 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Purshe Kaplan Sterling Investments 11 months, 3 weeks Sep 2013 - Present
Mbr Financial 2 years, 11 months Sep 2011 - Present
Margolis Brady Finanical, Inc. 1 year, 7 months Feb 2010 - Sep 2011
Bbva Wealth Solutions 2 months Dec 2009 - Feb 2010
Compass Banc Shares 5 years, 1 month Jan 2005 - Feb 2010
FSC Securities Corporation 10 years, 6 months Mar 2003 - Sep 2013
Stavis Margolis 9 years Dec 2000 - Dec 2009
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 08/08/2003
Uniform Securities Agent State Law ExaminationSeries 63 07/11/1991
General Securities Representative ExaminationSeries 7 07/02/1991

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Alfred Bernard Brady has not answered any questions on Financial Q&A.

Top Guides

Alfred Bernard Brady has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
08/07/2014
01/03/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions