Richard M. Bruni
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 M Bruni, who also goes by Richard M Bruni Mr, Richard Mcneill Bruni, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 4 firms and has passed the Series 66, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2012 - April 11, 2014
TD AMERITRADE, INC.
November 30, 2012 - April 11, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 30, 2012 - April 11, 2014
TD AMERITRADE, INC.
July 22, 2011 - November 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 27, 2011 - November 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 15, 1983 - November 26, 1991
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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