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CITADEL SECURITIES LLC
Information
- Reporter ID
- CDED
- Reporter Type
- Single Dealer Trading System
- Current Report URL
- https://www.citadelsecurities.com/rule-605-606-statements/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-01-2026 | https://www.citadelsecurities.com/rule-605-606-statements/ |
FINRA Reduces Waiting Periods for Retaking Qualification Exams
July 1, 2026
Features |
2013035345701-Titan-Securities-131392-Brad-Brooks-1584633-SEC-jhjr.pdf
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 105624 / June 8, 2026 Admin. Proc. File No. 3-20387 In the Matter of the Application of TITAN SECURITIES and BRAD C.
U.S. BANCORP ADVISORS, LLC
Information
- Reporter ID
- MKTI
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://public.s3.com/rule605/mkti
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-01-2026 | https://public.s3.com/rule605/mkti |
2024083650801 Raymond Trey Brown CRD 6170291 AWC lp.pdf
In June 2026, Brown refused to appear for on-the-record testimony requested pursuant to
FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred
from associating with any FINRA member in all capacities.