Bruce H. Blumenfeld
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.
Bruce Howard Blumenfeld was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1984. Bruce had worked at 6 firms and has passed the Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2014 - March 31, 2014
DAVID LERNER ASSOCIATES, INC.
February 18, 1988 - October 10, 1989
MORGAN STANLEY DW INC.
January 1, 1987 - March 16, 1988
E. F. HUTTON & COMPANY INC
October 1, 1985 - December 1, 1986
GRUNTAL & CO., L.L.C.
January 21, 1985 - October 1, 1985
JII SECURITIES INC.
January 25, 1984 - January 17, 1985
CITIGROUP GLOBAL MARKETS 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
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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