Richard L. Bruce
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.
Richard Lewis Bruce was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1983. Richard had worked at 8 firms and has passed the Series 66, Series 63, Series 7 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
March 28, 2003 - March 25, 2011
STS-ADVISORS LTD.
September 10, 2002 - January 28, 2003
THE INVESTMENT CENTER, INC.
February 11, 1991 - September 18, 2003
THE INVESTMENT CENTER, INC.
September 4, 1990 - February 26, 1991
WELLS FARGO CLEARING SERVICES, LLC
November 13, 1989 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
August 1, 1988 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
December 12, 1987 - August 20, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 5, 1985 - August 5, 1987
ROTAN MOSLE INC.
October 19, 1983 - August 12, 1985
E. F. HUTTON & COMPANY 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
No current employment
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.
