Allstate Financial Services Fires Bradford Giles
Bradford Giles (CRD #: 4210222), a former broker registered, according to his BrokerCheck record, accessed on May 8, 2022. Read on to learn more about Bradford Giles’s conduct as a broker.
Discharge from Allstate Financial Services
Bradford Giles was fired from Allstate Financial Services on March 15, 2022, following allegations he referred customers to an unaffiliated insurance company with whom he had an ownership interest and failed to disclose this outside business activity.
According to his detailed BrokerCheck report, Bradford Giles has one rental property outside of business with his firm.
FINRA Rule 3270
FINRA Rule 3270 requires brokers to provide written notice to their firm before engaging in outside business activity—which may include employment, contracting, and other endeavors that may lead to compensation.
Bradford Giles has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
He previously worked for Allstate Financial Services (CRD#:18272).
Kurta Law Can Help
If you worked with Bradford Giles and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.