Bruce T. Barnum
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 Thomas Barnum was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1981. Bruce had worked at 7 firms and has passed the Series 63, SIE, Series 52, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2016 - July 31, 2017
GE CAPITAL MARKETS, INC.
December 10, 2009 - April 3, 2012
GE CAPITAL MARKETS, INC.
November 9, 1998 - November 3, 2000
KEYBANC CAPITAL MARKETS INC.
April 21, 1998 - November 9, 1998
KEY CAPITAL MARKETS, INC.
August 19, 1996 - June 23, 1997
WELLS FARGO SECURITIES INC.
February 26, 1996 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
October 21, 1982 - December 16, 1983
DIEHL & COMPANY
December 24, 1981 - September 14, 1982
PETERSON, DIEHL & COMPANY, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GE CAPITAL MARKETS, INC.
CRD#: 13349 / SEC#: , 8-29149
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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