Bruce H. Botwinick
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 Howard Botwinick was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1942. Bruce had worked at 14 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2011 - November 1, 2012
GRADIENT SECURITIES, LLC
July 31, 2008 - December 9, 2009
WOODSTOCK FINANCIAL GROUP, INC.
June 12, 2007 - October 2, 2007
ALLEGIANT SECURITIES L.L.C.
March 17, 2003 - July 7, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 28, 2001 - December 31, 2002
HIGH MARK SECURITIES, INC.
August 11, 2000 - May 18, 2001
SENTRA SECURITIES CORPORATION
August 9, 2000 - August 22, 2000
KOVACK SECURITIES INC.
December 13, 1999 - August 31, 2000
PRIME CAPITAL SERVICES, INC.
March 29, 1993 - December 23, 1999
MONY SECURITIES CORPORATION
March 13, 1992 - December 31, 1992
AMERICAN CAPITAL CORPORATION
May 9, 1990 - May 25, 1990
BRADESCO INVESTMENTS INC.
August 25, 1987 - May 25, 1988
PRINTON, KANE GOVERNMENT SECURITIES, L.P.
July 23, 1987 - May 20, 1988
PRINTON KANE & CO., L.P.
August 28, 1942 - August 1, 1987
ADVEST, INC.
Primary Firm SEC Registration
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
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
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 1 |
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.
