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BB

Bruce A. Broekhuizen

Some features on this profile are disabled
CRD#: 1010012
BB

Professional summary

Bruce Allen Broekhuizen was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Bruce is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Bruce had worked at 4 firms, which includes GLEACHER & COMPANY SECURITIES INC., R.W.PRESSPRICH & CO., ABN AMRO SECURITIES LLC, M V SECURITIES INC. INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 26, 1995 - December 21, 1998

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

May 20, 1994 - March 9, 1995

R.W.PRESSPRICH & CO.

BD
CRD#: 26460
NEW YORK, NY
Past

March 14, 1994 - March 30, 1994

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

September 1, 1983 - July 24, 1992

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

September 7, 1982 - August 19, 1983

M V SECURITIES, INC. INC.

BD
CRD#: 7201

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/27/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1983
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 10/17/1981
Municipal Securities Representative Examination

Current Firm

G&
GLEACHER & COMPANY SECURITIES, INC.
BROADPOINT CAPITAL, INC. | GLEACHER & COMPANY SECURITIES, INC. | FIRST ALBANY CORPORATION | FIRST ALBANY CAPITAL INC.

CRD#: 298 / SEC#: , 8-2018

BD
Terminated by SEC on 05/31/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/25/1952
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GLEACHER & COMPANY, INC.SHAREHOLDER
ARCIERO-CRAIG, PATRICIA ANNGENERAL COUNSEL/SECRETARY/DIRECTOR
EDMISTON, BRYAN JOSEPHFINOP5743897
EDMISTON, BRYAN JOSEPHCHIEF FINANCIAL OFFICER/DIRECTOR5743897
KWOK, ANNISCHIEF COMPLIANCE OFFICER5822123

Disclosures

Regulatory Event33
Civil Event1
Arbitration10

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

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