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Inactive

Bradley Aaron Banken

Rossby Financial, LLC

Pittstown, NJ

Melbourne, FL

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Current Employers
Rossby Financial, Llc

2412 Irwin Street, Melbourne, FL 32901 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2026-06-17
NJ RA APPROVED 2026-06-16
  • IL RA
    APPROVED
    Since 2026-06-17
  • NJ RA
    APPROVED
    Since 2026-06-16

Branch Locations

Pittstown, NJ • United States

2412 Irwin Street, Melbourne, FL 32901 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc New York NY 08/2014 10/2018
Deutsche Bank Securities Inc. New York NY 11/2018 08/2019
Wells Fargo Securties Llc New York NY 08/2019 07/2021
Cambridge Investment Research, Inc. Fairfield IA 06/2022 Present
Retired Pittstown NJ 08/2021 05/2022
Cambridge Investment Research Advisors, Inc. Fairfield IA 07/2022 Present
Rossby Financial Llc Melbourne FL 06/2026 Present
Oak Stream Financial Pittstown NJ 06/2026 Present
  • 08/2014 → 10/2018
    J.P. Morgan Securities Llc
    New York, NY
  • 11/2018 → 08/2019
    Deutsche Bank Securities Inc.
    New York, NY
  • 08/2019 → 07/2021
    Wells Fargo Securties Llc
    New York, NY
  • 06/2022 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 08/2021 → 05/2022
    Retired
    Pittstown, NJ
  • 07/2022 → Present
    Fairfield, IA
  • 06/2026 → Present
    Melbourne , FL
  • 06/2026 → Present
    Oak Stream Financial
    Pittstown , NJ
Previous Registrations
Other Businesses

1. North Hunterdon Football, 1445 State Route 31 S, Annadale, NJ 08801, United States, 08/11/2025, Coach, Sport/Fitness/Gaming, NIR, 120 HR/MO - 9 HR/MO TRADING 2. Brad Banken, 1939 S 58th Street, Philadelphia, PA 19143, United States, 01/01/2025, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 1 HR/MO - 0 HR/MO TRADING 3. Oak Stream Investments LLC, 1939 S 58th Street, Pittstown, NJ 08867, United States, 07/01/2022, Owner, 1099, NIR, 200 HR/MO - 150 HR/MO TRADING 4. LOGAN SAWYER LLC, 2126 N. Sawyer Avenue, Chicago IL 60647, United States, 09/30/2025, Silent Loan Investor, Real Estate, Not Investment Related, 0 HR/MO - 0 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-07-01
S63 Uniform Securities Agent State Law Examination 2006-09-12
  • S65 Uniform Investment Adviser Law Examination
    2022-07-01
  • S63 Uniform Securities Agent State Law Examination
    2006-09-12
Other Names
  • Bradley Aaron Banken
  • Bradley Banken

View on SEC IAPD

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