Darrin Bradley Subject of Arizona Regulatory Action

Darrin Bradley (CRD #: 2398784), a broker registered with Ameriprise Financial Services, was the subject of a state regulatory action, according to his BrokerCheck record, accessed on May 31, 2025. Read on if you have questions about his alleged conduct as a broker.

Arizona Regulatory Action

On February 19, 2025, the Arizona Department of Insurance and Financial Institutions alleged that Darrin Bradley submitted an incomplete insurance application with regard to disclosures. The Department denied his application.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Darrin Bradley has passed the following exams:

• General Securities Principal Examination – Series 24
• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Uniform Investment Adviser Law Examination – Series 65
• Uniform Securities Agent State Law Examination – Series 63

Darrin Bradley is a registered broker in 49 states and the District of Columbia. He is also a registered investment adviser in New Jersey, New York, and Texas.

He has also worked for the following firms:

• Securian Financial Services (CRD#:15296)
• MSI Financial Services (CRD#:14251)
• Cetera Investment Advisers (CRD#:105644)
• Cetera Investment Services (CRD#:15340)
• LPL Financial CORPORATION (CRD#:6413)
• IFMG Securities (CRD#:14416)
• Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
• American Express Financial Advisors (CRD#:6363)
• IDS Life Insurance Company (CRD#:6321)
• First Montauk Securities Corporation (CRD#:13755)
• L.C. Wegard & Company (CRD#:3722)

Kurta Law Can Help

If you worked with Darrin Bradley and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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 that 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.