Bruce Bruning
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Bruce Bruning, who also goes by Bruce Keith Bruning, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1981. Bruce had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2016 - November 2, 2017
WOODSTOCK FINANCIAL GROUP, INC.
February 3, 2016 - November 2, 2017
WOODSTOCK FINANCIAL GROUP, INC.
March 30, 2015 - November 9, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 7, 2011 - November 9, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 18, 2008 - December 9, 2011
OSAIC SERVICES, INC.
September 13, 2006 - August 21, 2008
WELLS FARGO CLEARING SERVICES, LLC
September 1, 2006 - August 21, 2008
WELLS FARGO CLEARING SERVICES, LLC
December 21, 1998 - September 5, 2006
MORGAN STANLEY DW INC.
December 21, 1998 - September 5, 2006
MORGAN STANLEY DW INC.
April 12, 1996 - December 21, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 1992 - April 15, 1996
UBS FINANCIAL SERVICES INC.
June 27, 1985 - May 19, 1992
MORGAN STANLEY DW INC.
December 6, 1983 - June 26, 1985
LEHMAN BROTHERS INC.
August 18, 1983 - January 10, 1984
E. F. HUTTON & COMPANY INC
April 22, 1982 - August 17, 1983
PRUDENTIAL EQUITY GROUP, LLC
November 20, 1981 - April 30, 1982
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
