Bruno J. Galliadi
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.
Bruno John Galliadi was a registered financial professional .
Bruno is a previously registered financial professional and started their career in finance in 1983. Bruno had worked at 6 firms and has passed the Series 63, Series 7, Series 53 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
August 14, 2000 - December 31, 2003
C. A. BOTZUM & CO.
May 1, 1998 - August 11, 1998
WAMU INVESTMENTS, INC.
December 14, 1992 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
August 7, 1992 - December 1, 1992
HAMMOND & BOTZUM, INCORPORATED
July 23, 1987 - November 9, 1990
HARTFIELD, TITUS & DONNELLY, LLC
March 22, 1983 - May 1, 1987
PRUDENTIAL EQUITY GROUP, LLC
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
C. A. BOTZUM & CO.
CRD#: 123 / SEC#: , 8-10075
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOTZUM, WILLIAM TAYLOR | PRESIDENT/CEO/CCO/CFO/STOCKHOLDER | 5396100 |
Disclosures
| Regulatory Event | 2 |
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.
