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Detailed Report
JAMES BRADLEY SMITH
BRAD SMITH, JAMES BRAD SMITH
CRD#: 3002426
IA
Investment Adviser
B
Broker
MISSIONSQUARE RETIREMENTCRD#: 108783 Waunakee, WI
MISSIONSQUARE INVESTMENT SERVICESCRD#: 23189 Waunakee, WI
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2016 - 2017 (1 year)2 FIRMS2017 - Present (8 years)BFIDELITY INVESTMENTS INSTITUTI... (CRD# 17507)2000 - 2003 (3 years)BWASHINGTON SQUARE SECURITIES, INC. (CRD# 2882)1998 - 2000 (2 years)
License(s)

State Registrations

IA
Illinois 12/11/2024
B
Wisconsin 3/8/2017
IA
Indiana 12/2/2024
IA
Wisconsin 3/8/2017
IA
Michigan 12/2/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
MISSIONSQUARE INVESTMENT SERVICES (CRD#:23189)
Waunakee, WI
Registered with this firm since 3/8/2017
IA
MISSIONSQUARE RETIREMENT (CRD#:108783)
Waunakee, WI
Registered with this firm since 3/8/2017
Previous Registration(s)
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IA
 08/12/2016 - 02/01/2017 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) ORLANDO, FL
B
 01/14/2016 - 02/01/2017 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) ORLANDO, FL
B
 05/19/2000 - 12/16/2003 FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CRD#:17507) SMITHFIELD, RI
B
 03/31/1998 - 04/18/2000 WASHINGTON SQUARE SECURITIES, INC. (CRD#:2882) WINDSOR, CT
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.