Frank A. Bruno
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.
Frank Anthony Bruno, who also goes by Frank A Bruno, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1983. Frank had worked at 7 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2002 - December 31, 2011
L.O. THOMAS & CO. INC.
November 15, 2002 - November 19, 2002
NEXT FINANCIAL GROUP, INC.
December 12, 1996 - November 15, 2002
BRYN MAWR SECURITIES INC.
July 12, 1996 - December 12, 1996
BUCKHEAD FINANCIAL CORPORATION
September 9, 1993 - June 27, 1996
WALNUT STREET SECURITIES, INC.
November 13, 1989 - August 24, 1993
AMERICAN CAPITAL CORPORATION
July 28, 1983 - October 30, 1989
OSAIC FS, 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
L.O. THOMAS & CO. INC.
CRD#: 23657 / SEC#: , 8-40875
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RISLEY, JOHN WESLEY JR | PRESIDENT, FINOP, CEO,CCO | 844622 |
Disclosures
| Regulatory Event | 1 |
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.
