Bruce E. Forrest
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 Forrest was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1985. Bruce had worked at 8 firms and has passed the Series 63, SIE 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
October 21, 2009 - August 2, 2019
AURORA CAPITAL LLC
February 5, 2009 - February 11, 2009
CHASE INVESTMENT SERVICES CORP.
July 31, 1993 - February 10, 2009
CITIGROUP GLOBAL MARKETS INC.
August 22, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
November 12, 1988 - March 10, 1989
INVESTORS CENTER, INC.
June 29, 1987 - July 31, 1993
LEHMAN BROTHERS INC.
November 25, 1986 - July 9, 1987
KUHNS BROTHERS & LAIDLAW, INC.
December 18, 1985 - December 5, 1986
THE STUART-JAMES COMPANY, INCORPORATED
December 4, 1985 - January 1, 1986
MACPEG, ROSS, O'CONNELL & GOLDABER, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AURORA CAPITAL LLC
CRD#: 37924 / SEC#: , 8-48069
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
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.
