Thomas J. Bruch
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.
Thomas James Bruch was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 10 firms and has passed the Series 63, Series 15, Series 3, Series 5, 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
May 16, 2005 - December 6, 2006
AIG FINANCIAL SECURITIES CORP.
February 23, 2000 - April 13, 2005
MORGAN STANLEY MARKET PRODUCTS INC.
February 23, 2000 - April 13, 2005
MORGAN STANLEY & CO. LLC
August 12, 1998 - February 24, 2000
AVM, L.P.
September 30, 1993 - June 19, 1998
DEUTSCHE BANK SECURITIES INC.
March 24, 1993 - September 30, 1993
DEUTSCHE BANK CAPITAL CORPORATION
April 15, 1991 - March 4, 1993
CREDIT SUISSE SECURITIES (USA) LLC
February 21, 1989 - January 25, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
June 17, 1988 - January 25, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
November 22, 1983 - March 9, 1987
SALOMON BROTHERS 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
Series 15
Date: 4/10/1984
Foreign Currency Options ExaminationSeries 5
Date: 1/17/1984
Interest Rate Options ExaminationCurrent Firm
AIG FINANCIAL SECURITIES CORP.
CRD#: 21774 / SEC#: , 8-37762
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG FINANCIAL PRODUCTS CORP. | SHAREHOLDER | |
| HAWRILUK, STEPHEN JOHN | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, CONTROLLER AND FINANCIAL & OPERATIONS PRINCIPAL | 2798029 |
| KATZ, MARIE | CHIEF COMPLIANCE OFFICER | 2457660 |
| KOLBERT, WILLIAM CONRAD | DIRECTOR | 1667998 |
| LIEBERGALL, JONATHAN SCOTT | DIRECTOR, PRESIDENT AND SUPERVISORY PRINCIPAL | 1744845 |
| RUFFA, GREGORY JAMES | MANAGING DIRECTOR, GENERAL COUNSEL AND SECRETARY | 5968922 |
Red Flags
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