BRAD ANTHONY FREITAS is currently employed as a Broker and/or Investment Adviser at BANKERS LIFE SECURITIES, INC. located at 475 KILVERT STREET, SUITE 210, WARWICK, RI, 02886.
BRAD ANTHONY FREITAS has worked at BANKERS LIFE SECURITIES, INC. since May 26, 2016
BRAD ANTHONY FREITAS has 1 Disclosure Event(s).
Date: September 24, 2010 Category: Regulatory Initiated By: RHODE ISLAND DEPARTMENT OF BUSINESS REGULATION - INSURANCE DIVISION Allegations: THE RHODE ISLAND INSURANCE DIVISION ALLEGED THAT THE RESPONDENT, AS A PRODUCER/MANAGER OF BANKERS' LIFE & CASUALTY (BANKERS'), VIOLATED CERTAIN STATUES AND REGULATIONS OF RHODE ISLAND LAW RELATING TO, BUT NOT LIMITED TO, THE SUITABILITY AND MARKETING OF REPLACEMENT LIFE INSURANCE AND FIXED ANNUITIES. [(RI INSURANCE REGULATION 12 (SUITABILITY); RI INSURANCE REGULATION 29 (REPLACEMENT); RI GENERAL LAW §27-29-4 (MISREPRESENTATION)] Resolution: Consent Sanctions: CONSENT ORDER - SPECIFICATIONS: COOPERATION WITH REMEDIATION PROGRAM; COMMISSIONS/OVERRIDES TO BE CHARGED BACK WITH REGARD TO LIFE INSURANCE & ANNUITY SALES THAT ARE RESCINDED OR WHERE BANKERS' PAYS REFUNDS UNDER THE REMEDIATION PROGRAM; COMPLIANCE TO RI STATUTORY LAW AND INSURANCE REGULATIONS; CONFORMITY TO ALL BANKERS' LIFE & CASUALTY (BANKERS') MARKETING AND SALES PRACTICE POLICIES AND PROCEDURES; ON-GOING PARTICIPATION IN BANKERS' INTERNAL TRAINING PROGRAMS; COMPLIANCE TO THE CONSENT ORDER; NON-COMPLIANCE COULD RESULT IN FURTHER ADMINISTRATIVE PROCEEDINGS. Broker Comment: CONSENT ORDER WAS ENTERED TO RESOLVE ALLEGATIONS ISSUED BY THE RHODE ISLAND INSURANCE DIVISION AGAINST THE RESPONDENT WITHOUT FURTHER ADMINISTRATIVE PROCEEDINGS. THE RESPONDENT DOES NOT ADMIT TO ANY OF THE VIOLATIONS ALLEGED BY THE RHODE ISLAND INSURANCE DIVISION NOR DOES THE RHODE ISLAND INSURANCE DIVISION WITHDRAW ANY OF ITS ALLEGATIONS. THE ALLEGATIONS DO NOT RELATE TO THE SALE OF PRODUCTS OTHER THAN LIFE INSURANCE AND FIXED ANNUITES MARKETED AND SOLD VIA BANKERS LIFE AND CASUALTY (BANKERS').
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for BRAD ANTHONY FREITAS, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More