Bruce F. Eisen
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 Franklin Eisen was a registered financial advisor .
Bruce is a previously registered financial advisor and started their career in finance in 1984. Bruce had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2008 - December 23, 2009
LG INVESTMENT ADVISORS
July 27, 2004 - June 12, 2007
FINANCIAL WEST GROUP
January 2, 2004 - June 12, 2007
FINANCIAL WEST GROUP
February 6, 2001 - August 22, 2002
FIRST SECURITY INVESTMENTS, INC.
June 7, 2000 - February 1, 2001
PIM FINANCIAL SERVICES, INC.
September 19, 1997 - May 17, 2000
GBS FINANCIAL CORP.
April 27, 1994 - September 22, 1997
PRUDENTIAL EQUITY GROUP, LLC
June 7, 1988 - April 19, 1994
MORGAN STANLEY DW INC.
June 4, 1984 - May 26, 1988
PRUDENTIAL EQUITY GROUP, LLC
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
Series 8
Date: 9/27/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
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.
