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Bradley Finkle

Chief Operating Officer at Barings

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Bradley Finkle is Chief Operating Officer of Barings LLC, a Charlotte investment adviser managing $393B. Bradley Finkle has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 63 and SIE.

Role at Barings

Title on Schedule A
Chief Operating Officer
Control
Bradley Finkle is not a control person of Barings.
Ownership
An individual ownership band is not available in the source record.
Tenure
Bradley Finkle has held the filed role since June 2026.

The firm

Barings LLC
Charlotte, NC

Form ADV filed 11 August 2026

$393B AUM417 clients465 advisers11 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 7 and Series 63 · 1997

Registrations and exams

Broker registration; no current adviser registration. Bradley Finkle has passed 3 qualifying exams.

Examinations

Series 638 August 1997
Name
Uniform Securities Agent State Law Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 727 February 1997
Name
General Securities Representative Examination

Individual record

Full name
Bradley Gordon Finkle
CRD
2663338
Firm
Barings LLC
Registration status
Broker registration; no current adviser registration
Firm bio
barings.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Barings lists Brad Finkle as global chief operating officer. Official firm biography

Common questions

Where does Bradley Finkle work?

Bradley Finkle has been Chief Operating Officer of Barings LLC since June 2026.

Source: Form ADV, Schedule A, filed 11 August 2026

Does Bradley Finkle have a current investment-adviser registration?

Bradley Finkle has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Bradley Finkle passed?

Bradley Finkle has passed 3 licensing exams: the Series 7, Series 63 and SIE. The earliest, the Series 7, was passed in February 1997.

Source: IAPD individual record, checked 17 October 2026

Leadership at Barings

  • Michael Freno
    President, Chief Executive Officer, Chairman of the Board of Managers, and Director
  • Patrick Hoefling
    Chief Financial Officer
  • Melissa Lagrant
    Chief Compliance Officer
  • Susan Cicco
    Director, Human Resource Committee
  • Geoffrey Craddock
    Director, Audit Committee
  • Roger Crandall
    Director, Human Resource Committee
  • Mary Jane Fortin
    Director
  • Meredith Hunter
    Assistant Secretary
  • Kaku Kikukawa
    Director
  • Paul Anthony Lapiana
    Director
  • Eric Lloyd
    Vice Chairman
  • Melissa Logan
    Chief Legal Officer and Assistant Secretary
  • Sears Merritt
    Director
  • Michael O'Connor
    Director, Audit Committee
  • Eric Partlan
    Director
  • Daniel Verwholt
    Treasurer
  • Rhian Williams
    Secretary

Sources

  1. IAPD individual record, CRD 2663338. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Barings LLC, filed 11 August 2026. Title, control and ownership bands.
  3. Barings team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Bradley Finkle or Barings LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.