Bradley O OLeary (CRD #5205085) Has an Employment Separation Disclosure on FINRA BrokerCheck

Bradley O OLeary (CRD #5205085) has been the subject of disclosure events, which have recently been reported on his FINRA BrokerCheck Report. According to Bradley O OLeary’s FINRA BrokerCheck report accessed on January 22, 2026, Bradley O OLeary has been the subject of one employment separation. If you invested with Bradley O OLeary and you have concerns about his activity, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Employment Separation

Bradley OLeary’s FINRA BrokerCheck Report reflects one employment separation disclosure. A summary of the disclosure is below:

On November 13, 2025, Bradley OLeary voluntarily resigned from Merrill Lynch, Pierce, Fenner & Smith Incorporated after allegations of conduct inconsistent with firm standards related to business communications.

Rule summary #1: FINRA Rule 2210 (Communications with the Public)

FINRA Rule 2210 (Communications with the Public) sets content standards for broker-dealer communications and generally requires that communications be fair and balanced and not omit material information, including when firms and associated persons communicate through advertising, correspondence, or other written communications.

Rule summary #2: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 (Supervision) requires member firms to establish, maintain, and enforce written supervisory procedures and supervisory systems designed to achieve compliance with applicable securities laws and regulations and FINRA rules, including oversight of associated persons’ business-related communications.

Why this Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation designed to strengthen the standard of conduct that broker-dealers owe to retail investors when making recommendations about securities transactions or investment strategies. Adopted by the U.S. Securities and Exchange Commission and effective as of June 30, 2020, Reg BI aims to enhance investor protection while preserving investor access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in the best interest of the retail customer at the time a recommendation is made, and not to place their own financial or other interests ahead of the customer’s. This represents a higher standard than the historical “suitability” requirement, which only required that recommendations be suitable, not necessarily optimal or conflict-free.

Reg BI is built around four key obligations:

1. Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and recommendations, including fees, scope of services, and conflicts of interest.
2. Care Obligation – Recommendations must be made with reasonable diligence, care, and skill, considering costs, risks, and alternatives.
3. Conflict of Interest Obligation – Firms must identify, disclose, and mitigate or eliminate conflicts, particularly those that create incentives to favor one product over another.
4. Compliance Obligation – Firms must establish policies and procedures designed to ensure compliance with Reg BI as a whole.

Importantly, Reg BI applies at the recommendation level, not as a continuous duty like the fiduciary standard applicable to registered investment advisers. Still, it significantly narrows the gap by emphasizing cost considerations, conflict management, and investor-focused decision-making.

Overall, Regulation Best Interest seeks to promote transparency, improve the quality of investment recommendations, and reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his BrokerCheck Report, Bradley OLeary:

• Was previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated through December 11, 2025.
• Has passed the Series 66 (Uniform Combined State Law Examination).
• Reported employment as a Wealth Management Advisor with Bank of America, N.A. (investment-related).

Kurta Law Can Help

If you have worked with Bradley OLeary and you have concerns about his activity, Kurta Law may be able to help you evaluate potential recovery options. You may be entitled to pursue a claim through FINRA arbitration, depending on the facts of your situation and the investments involved. Contact Kurta Law at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

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