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Information

Other Names: Denise S Tuck, Denise Shelley Tuck
Firm:
Type: Dual Registration
Description

Denise Brady is a financial professional at J.P. Morgan Securities LLC, a broker-dealer with over 28,400 registered representatives nationwide. Denise has held an industry securities registration for 23 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Denise Shelley Brady has not answered any questions on Financial Q&A.

Top Guides

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

Firm Client Types

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

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

Experience and Employment History

Employer Years Dates
J.P. Morgan Securities LLC 1 year, 6 months Oct 2012 - Present
AKA 3 years, 2 months Feb 2011 - Present
Chase Investment Services Corp. 3 years, 5 months May 2009 - Oct 2012
Wm Financial Services, Inc. 15 years, 3 months Jan 1999 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 04/26/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
04/26/2013
08/16/2013
*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.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 07/15/2006
General Securities Representative Examination Series 7 12/28/1998
Uniform Securities Agent State Law Examination Series 63 03/01/1991
Investment Company Products/Variable Contracts Representative Examination Series 6 09/26/1989

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Performance-based Fees