Stuart R. Brunet
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.
Stuart Redman Brunet was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1986. Stuart had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 6 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - July 14, 2026
NUVEEN SECURITIES, LLC
June 7, 2007 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
December 19, 2006 - April 17, 2007
CHARLES SCHWAB & CO., INC.
April 12, 2005 - December 6, 2006
ATLAS SECURITIES, LLC
July 24, 2003 - April 13, 2005
RAFFERTY CAPITAL MARKETS, LLC
September 12, 2000 - June 18, 2001
MARKETOCRACY BROKERAGE SERVICES LLC
January 4, 1994 - December 17, 1999
PREFERREDTRADE, INC.
March 26, 1987 - October 11, 1988
FIDELITY BROKERAGE SERVICES LLC
June 10, 1986 - December 12, 1986
FIDELITY DISTRIBUTORS CORPORATION
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
Series 55
Date: 5/17/1999
Limited Representative-Equity Trader ExamCurrent Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 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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