Bruce M. Ellis
Professional summary
Bruce Michael Ellis was barred by the FINRA 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 1981. Prior to being barred, Bruce had worked at 8 firms, which includes EISNER SECURITIES INC., SII INVESTMENTS INC., WALNUT STREET SECURITIES INC., WEALTH RESOURCE CAPITAL CORPORATION, SECURITIES AMERICA INC., TITAN/VALUE EQUITIES GROUP INC., KMS FINANCIAL SERVICES INC., PACIFIC WEST SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 1997 - November 13, 1997
EISNER SECURITIES, INC.
May 1, 1996 - December 31, 1996
SII INVESTMENTS, INC.
June 30, 1994 - May 2, 1996
WALNUT STREET SECURITIES, INC.
June 4, 1992 - July 11, 1994
WEALTH RESOURCE CAPITAL CORPORATION
February 4, 1992 - June 2, 1992
SECURITIES AMERICA, INC.
October 16, 1985 - January 31, 1992
TITAN/VALUE EQUITIES GROUP, INC.
September 6, 1983 - October 1, 1984
KMS FINANCIAL SERVICES, INC.
November 17, 1981 - October 4, 1983
PACIFIC WEST SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
EISNER SECURITIES, INC.
CRD#: 40585 / SEC#: , 8-49084
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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