Bruce J. Smith
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 John Smith was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1984. Bruce had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 1998 - May 18, 2005
VAN ECK CAPITAL, INC.
September 25, 1984 - February 19, 2020
VAN ECK SECURITIES CORPORATION
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
VAN ECK CAPITAL, INC.
CRD#: 40746 / SEC#: , 8-49179
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VAN ECK ASSOCIATES CORPORATION | 100% DIRECT OWNER | |
| ELWOOD, THOMAS HENRY | VICE PRESIDENT, SECRETARY, CHIEF LEGAL OFFICER | 2961798 |
| MAXEY, PATRICIA ANN | SECRETARY | 4102812 |
| SMITH, BRUCE JOHN | CFO, FINOP | 1279698 |
| VANECK, DEREK STEVEN | DIRECTOR | 1535069 |
| VANECK, JAN FREDERICK | PRESIDENT, CHAIRMAN, CEO, CHIEF COMPLIANCE OFFICER | 1695680 |
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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