Bruce C. Rothenberg
Professional summary
Bruce Chet Rothenberg was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bruce is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Bruce had worked at 9 firms, which includes INVESTORS ASSOCIATES INC., NETWORK 1 FINANCIAL SECURITIES INC., TAW SECURITIES INC., EQUITIES INTERNATIONAL SECURITIES INC., MARSHALL DAVIS INC., DOMESTIC ARBITRAGE GROUP INC., A. G. EDWARDS & SONS INC., AMERICAN HERITAGE SECURITIES CORPORATION, MICHAEL C. TALLEY & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 1994 - April 17, 1995
INVESTORS ASSOCIATES, INC.
April 18, 1991 - August 28, 1992
NETWORK 1 FINANCIAL SECURITIES INC.
August 10, 1990 - April 8, 1991
TAW SECURITIES, INC.
December 8, 1988 - September 11, 1990
NETWORK 1 FINANCIAL SECURITIES INC.
July 19, 1988 - July 17, 1989
EQUITIES INTERNATIONAL SECURITIES, INC.
July 13, 1987 - March 24, 1988
MARSHALL DAVIS, INC.
January 7, 1987 - June 11, 1987
DOMESTIC ARBITRAGE GROUP, INC.
August 27, 1986 - October 31, 1986
A. G. EDWARDS & SONS, INC.
May 16, 1985 - August 27, 1986
AMERICAN HERITAGE SECURITIES CORPORATION
January 21, 1985 - May 15, 1985
MICHAEL C. TALLEY & CO., INC.
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
INVESTORS ASSOCIATES, INC.
CRD#: 958 / SEC#: , 8-15007
Contact information
Documents
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.
