Bruce A. Wismann
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 Anthony Wismann was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1994. Bruce had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2021 - July 25, 2022
NI ADVISORS
September 14, 2021 - July 20, 2022
VESTECH SECURITIES, INC.
November 27, 2019 - October 23, 2020
SUPREME ALLIANCE LLC
March 19, 2019 - October 11, 2019
SUPREME ALLIANCE LLC
May 1, 2014 - February 8, 2019
FSC SECURITIES CORPORATION
May 14, 2012 - April 30, 2014
KESTRA INVESTMENT SERVICES, LLC
June 14, 2010 - May 14, 2012
DALTON STRATEGIC INVESTMENT SERVICES INC.
January 30, 1995 - June 23, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
June 24, 1994 - December 31, 1994
VOYA FINANCIAL ADVISORS, 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
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
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.
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