Bruce D. Rae
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 David Rae was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1982. Bruce had worked at 18 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2014 - January 31, 2024
BCP SECURITIES, INC.
September 9, 2014 - October 7, 2014
BONWICK CAPITAL PARTNERS, LLC
January 7, 2014 - September 10, 2014
B. RILEY WEALTH MANAGEMENT
April 29, 2013 - January 9, 2014
NATALLIANCE SECURITIES, LLC
April 17, 2013 - April 23, 2013
FOREFRONT CAPITAL MARKETS LLC
December 13, 2012 - April 18, 2013
ACCESS SECURITIES, LLC
December 16, 2010 - November 16, 2012
WILLIAM BLAIR
August 29, 2007 - December 14, 2010
STERNE, AGEE & LEACH, INC.
June 20, 2005 - September 4, 2007
NEWOAK CAPITAL MARKETS LLC
March 24, 2004 - June 30, 2005
RAYMOND JAMES & ASSOCIATES, INC.
February 19, 2003 - March 12, 2004
INTL FCSTONE CREDIT TRADING LLC
June 1, 2000 - February 5, 2003
WELLS FARGO CLEARING SERVICES, LLC
September 29, 1994 - June 1, 2000
FORUM CAPITAL MARKETS LLC
July 26, 1993 - September 19, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
July 14, 1989 - November 3, 1993
UBS FINANCIAL SERVICES INC.
February 4, 1988 - June 23, 1989
SBC WARBURG DILLON READ INC.
October 21, 1986 - April 7, 1988
E. F. HUTTON & COMPANY INC
January 20, 1982 - June 8, 1983
STANDARD & POOR'S SECURITIES, 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
BCP SECURITIES, INC.
CRD#: 27063 / SEC#: , 8-42836
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIKE, RANDALL EMORY | CHAIRMAN | 1926966 |
| HOUSON, RICARDO CARLOS | SHAREHOLDER | 2943538 |
| LUQUE SUESCUN, JUAN CARLOS | SHAREHOLDER | 2373875 |
| OWENS, STEVEN CRAIG | SHAREHOLDER | 2268295 |
| SMITH, DAVID CHRISTOPHER | SHAREHOLDER | 2749802 |
| BAGORDA, FELICE | SHAREHOLDER/CEO | 5439644 |
| BILAL, MUHAMMAD OMAR | SHAREHOLDER | 6272625 |
| BURKE, EDWARD JOHN JR. | SHAREHOLDER | 2398546 |
| CLEVEN, PETER DAMION | CHIEF COMPLIANCE OFFICER | 6400894 |
| DAELLENBACH, RENE | SHAREHOLDER | 2555076 |
| DELLA CIOPPA, MAURO | SHAREHOLDER | 4961537 |
| DIAZ, NATALIE HELEN | SHAREHOLDER | 4691258 |
| GARCIA, EDWIN ERNESTO | SHAREHOLDER / FINOP | 4154949 |
| GUTIERREZ, JAVIER | SHAREHOLDER | 6482968 |
| HARPER, JAMES VANCE | SHAREHOLDER | 4014076 |
| HOUGH, BENJAMIN COLIN | SHAREHOLDER | 2396825 |
| KHALITOV, BULAT | SHAREHOLDER | 6387636 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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