Bruce E. Simmons
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 Edward Simmons, who also goes by Bruce E Simmons, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1984. Bruce had worked at 3 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 1993 - October 5, 2001
SANDLER, O'NEILL & PARTNERS, L.P.
March 4, 1991 - April 26, 1993
LEHMAN BROTHERS INC.
June 21, 1984 - July 19, 1990
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 55
Date: 5/1/2000
Limited Representative-Equity Trader ExamCurrent Firm
SANDLER, O'NEILL & PARTNERS, L.P.
CRD#: 23328 / SEC#: , 8-40214
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
Red Flags
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