Bruce J. Weissman
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 Jeffrey Weissman, who also goes by Bruce Jeffrey Weissmann, Bruce Weissmann, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1984. Bruce had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2019 - September 24, 2021
AMERICAN VETERANS GROUP, PBC
October 31, 2017 - January 7, 2019
B. RILEY WEALTH ADVISORS, INC.
October 31, 2017 - January 7, 2019
NATIONAL SECURITIES CORPORATION
June 1, 2009 - November 5, 2015
MORGAN STANLEY
June 1, 2009 - November 5, 2015
MORGAN STANLEY
July 8, 1997 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 8, 1995 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 18, 1988 - August 24, 1995
PRUDENTIAL EQUITY GROUP, LLC
June 13, 1986 - December 9, 1988
CIBC WORLD MARKETS CORP.
April 5, 1984 - June 18, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 4/4/1995
Foreign Currency Options ExaminationSeries 5
Date: 4/4/1995
Interest Rate Options ExaminationCurrent Firm
AMERICAN VETERANS GROUP, PBC
CRD#: 291933 / SEC#: , 8-70063
Contact information
FINRA licenses (13 States and Territories)
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.
