Bruce M. Zipper
Professional summary
Bruce Martin Zipper 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 1982. Prior to being barred, Bruce had worked at 13 firms, which includes DAKOTA SECURITIES INTERNATIONAL INC., STERLING FINANCIAL INVESTMENT GROUP INC., NEWBRIDGE SECURITIES CORPORATION, SANDS BROTHERS & CO. LTD., BLUESTONE CAPITAL CORP., SSI SECURITIES CORP., DAKOTA SECURITIES INTERNATIONAL INC, FIRST MONTAUK SECURITIES CORP., THE CONCORD EQUITY GROUP LLC, BIRCHTREE FINANCIAL SERVICES LLC, VANGUARD SECURITIES INC., DIS-COM SECURITIES INC., BALOGH SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2005 - October 2, 2017
DAKOTA SECURITIES INTERNATIONAL, INC.
August 30, 2004 - April 5, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
December 20, 2001 - August 9, 2004
NEWBRIDGE SECURITIES CORPORATION
November 9, 2001 - December 21, 2001
SANDS BROTHERS & CO., LTD.
August 31, 2001 - November 27, 2001
BLUESTONE CAPITAL CORP.
March 29, 2001 - August 31, 2001
SSI SECURITIES CORP.
November 21, 2000 - December 3, 2001
DAKOTA SECURITIES INTERNATIONAL, INC
February 20, 1997 - March 26, 2001
FIRST MONTAUK SECURITIES CORP.
January 16, 1997 - February 19, 1997
THE CONCORD EQUITY GROUP, LLC
January 20, 1989 - September 16, 1996
SSI SECURITIES CORP.
December 10, 1987 - February 27, 1989
BIRCHTREE FINANCIAL SERVICES LLC
November 16, 1982 - November 9, 1988
VANGUARD SECURITIES, INC.
June 16, 1982 - October 5, 1982
DIS-COM SECURITIES, INC.
January 19, 1982 - October 1, 1982
BALOGH SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
DAKOTA SECURITIES INTERNATIONAL, INC.
CRD#: 132700 / SEC#: , 8-66626
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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