Bruce N. Whitman
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 Nairn Whitman JR, who also goes by Bruce Nairn Whitman, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1989. Bruce had worked at 8 firms and has passed the Series 63 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
August 11, 1997 - October 29, 1997
SANDS BROTHERS & CO., LTD.
May 3, 1996 - April 4, 1997
HAMPSHIRE SECURITIES CORPORATION
May 10, 1994 - December 13, 1994
LAIDLAW GLOBAL SECURITIES, INC.
November 1, 1993 - May 17, 1994
MEYERS SECURITIES CORPORATION
July 31, 1993 - October 15, 1993
CITIGROUP GLOBAL MARKETS INC.
April 20, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
February 28, 1991 - April 16, 1992
UBS FINANCIAL SERVICES INC.
November 13, 1990 - January 31, 1991
CIBC WORLD MARKETS CORP.
November 15, 1989 - September 12, 1990
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
SANDS BROTHERS & CO., LTD.
CRD#: 26816 / SEC#: , 8-42740
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 16 |
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.
