Bradley Banken has been an investment adviser representative at Rossby Financial since June 2026, and is not listed among the firm’s executive officers or direct owners.
Rossby Financial, LLC is a Melbourne, FL firm with $855M under management, 3,910 clients and 2 advisers across 19 offices, as of its July 2026 filing.
Bradley Banken’s longest registration was 3 years at Cambridge Investment Research Advisors, Inc. (2022–2026). Before joining Rossby Financial in 2026, Bradley Banken was registered through Cambridge Investment Research Advisors, Inc.
- Rossby Financial, LLCCurrent– present · under a yearPittstown, NJ · Adviser representative · Firm CRD 324631
- Cambridge Investment Research Advisors, Inc.– · 3 yearsPittstown, NJ · Adviser representative · Firm CRD 134139
Investment adviser representative registrations
Bradley Banken is registered as an investment adviser representative in 2 states. Each was approved in June 2026.
- IllinoisSince 17 June 2026
- New JerseySince 16 June 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 2 January 2023 |
| Series 39 | Direct Participation Programs Principal Examination | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 82TO | Limited Representative-Private Securities Offerings | 2 January 2023 |
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 22TO | Direct Participation Programs Representative Examination | 2 January 2023 |
| Series 65 | Uniform Investment Adviser Law Examination | 1 July 2022 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 5 November 2010 |
| Series 55 | Limited Representative-Equity Trader Exam | 26 September 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 12 September 2006 |
| Series 7 | General Securities Representative Examination | 29 August 2006 |
- Name
- Compliance Officer Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Direct Participation Programs Principal Examination
- Name
- Municipal Securities Representative Examination
- Name
- Limited Representative-Private Securities Offerings
- Name
- Securities Trader Exam
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Operations Professional Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Bradley Aaron Banken
- CRD
- 4980305
- Firm
- Rossby Financial · CRD 324631
- Office
- Pittstown, NJ
- Registration
- Investment adviser registration
- In the industry since
- September 2007
- Disciplinary history
- Not yet shown here · SEC record
Where does Bradley Banken work?
Bradley Banken is an investment adviser representative registered through Rossby Financial, LLC since June 2026, and is not listed among the firm’s executive officers or direct owners.
Is Bradley Banken a financial advisor?
Yes. Bradley Banken has a current investment-adviser registration in Illinois and New Jersey, through Rossby Financial since June 2026.
How many years of experience does Bradley Banken have?
Bradley Banken has 19 years in the financial industry, since September 2007, across 2 adviser firms.
What exams has Bradley Banken passed?
Bradley Banken has passed 14 licensing exams: the Series 7, Series 63, Series 55, Series 24, Series 65, Series 14, Series 26, Series 39, Series 52TO, Series 82TO, Series 57TO, Series 6TO, Series 99TO and Series 22TO. The earliest, the Series 7, was passed in August 2006. FINRA credited Bradley Banken with the SIE, which began in October 2018.
Where did Bradley Banken work before Rossby Financial?
Before Rossby Financial, Bradley Banken was registered through Cambridge Investment Research Advisors, Inc., July 2022 to June 2026.
Where is Bradley Banken based?
Bradley Banken’s registered office is in Pittstown, NJ.
Is Bradley Banken registered with FINRA?
No. Bradley Banken has no current broker registration.
How can I verify Bradley Banken’s record?
Search CRD 4980305 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Bradley Banken’s full registration record.
- Marissa HarrisCCO
- Melissa ReaktenwaltEmployee Ownership - Class A and B Shares
- Kelly RennerEmployee Ownership - Class B Shares
- Jason RennerEmployee Ownership - Class B Shares
- Jennifer SzeklinskiEmployee Ownership - Class A and B Shares
- Frances TolerEmployee Ownership - Class B Shares
- Andrew EvansCEO
- Christopher MarsicoMember