Bruce J. Clark
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 James Clark was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 2001. Bruce had worked at 5 firms and has passed the Series 3 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2010 - February 16, 2012
TP ICAP GLOBAL MARKETS AMERICAS LLC
May 20, 2008 - April 20, 2010
LAVAFLOW, INC.
July 13, 2007 - July 29, 2008
LAVA TRADING, INC.
October 3, 2005 - January 3, 2006
NATWEST MARKETS SECURITIES INC.
February 6, 2001 - October 22, 2001
MIZUHO SECURITIES USA LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
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.
