Bruce G. Van Ornum
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 George Van Ornum, who also goes by Bruce George Vanornum, Bruce Vanornum, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1985. Bruce had worked at 16 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
September 10, 2019 - February 2, 2021
INTERCAROLINA FINANCIAL SERVICES, INC.
August 3, 2015 - September 28, 2017
PREFERRED CAPITAL SECURITIES, LLC
March 24, 2014 - August 3, 2015
INTERNATIONAL ASSETS ADVISORY, LLC
June 19, 2009 - September 5, 2012
PATRICK CAPITAL MARKETS, LLC
March 20, 2009 - June 10, 2009
K-ONE INVESTMENT COMPANY, INC.
March 27, 2008 - September 19, 2008
CCO CAPITAL, LLC
July 19, 2007 - March 3, 2008
ALLIANZ LIFE FINANCIAL SERVICES, LLC
October 6, 2004 - July 9, 2007
OLD MUTUAL INVESTMENT PARTNERS
January 23, 2004 - October 29, 2004
VOYA FINANCIAL ADVISORS, INC.
July 18, 2001 - August 28, 2003
TRANSAMERICA CAPITAL, LLC
March 22, 1999 - July 30, 2001
CAPITAL BROKERAGE CORPORATION
October 2, 1994 - September 8, 1998
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
October 22, 1991 - December 6, 1993
VOYAGEUR INVESTMENTS, INC.
December 11, 1989 - January 2, 1991
F & G SECURITIES, INC.
March 3, 1986 - December 20, 1989
IFMG SECURITIES, INC.
April 24, 1985 - March 13, 1986
RAYMOND JAMES FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
INTERCAROLINA FINANCIAL SERVICES, INC.
CRD#: 19475 / SEC#: 801-121339, 8-37519
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
INTERCAROLINA FINANCIAL SERVICES, INC.
CRD#: 19475 / SEC#: 801-121339, 8-37519
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 381 |
| AUM (Assets Under Management) | $ 130,750,464 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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