Russell J. 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.
Russell James Bruno was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1987. Russell had worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2016 - April 14, 2021
WELLS FARGO SECURITIES, LLC
May 28, 2015 - May 23, 2018
WELLS FARGO PRIME SERVICES, LLC
September 30, 2005 - December 31, 2008
J.P. MORGAN CLEARING CORP.
September 30, 2005 - June 3, 2015
J.P. MORGAN SECURITIES LLC
July 21, 1994 - October 28, 1997
CONSTELLATION CONVERTIBLES L.P.
July 13, 1994 - July 1, 1997
CONSTELLATION CONVERTIBLES LIMITED
July 6, 1994 - June 27, 1997
CONSTELLATION EQUITIES L.P.
February 4, 1991 - August 29, 1995
SPECTRUM TRADING PARTNERS L.P.
January 6, 1987 - April 9, 1990
MANUFACTURERS HANOVER SECURITIES CORPORATION
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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