Bruce E. Fenske
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 Edward Fenske, who also goes by Bruce E Fenske, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1988. Bruce had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 55, Series 7, Series 53, Series 4, Series 14, Series 9, Series 24, Series 10 and Series 14A exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2013 - February 24, 2015
CANACCORD GENUITY LLC
October 19, 2012 - September 30, 2013
SANTANDER US CAPITAL MARKETS LLC
July 24, 2009 - September 30, 2013
PIERPONT CAPITAL ADVISORS LLC
November 30, 2004 - May 22, 2009
BROKERTEC AMERICAS LLC
May 21, 2002 - May 19, 2009
FIRST BROKERS SECURITIES LLC
February 1, 2002 - May 19, 2009
ICAP SECURITIES USA LLC
July 12, 2001 - January 29, 2002
GGET, LLC.
October 3, 2000 - December 1, 2000
INTERCAPITAL SECURITIES, INC.
September 20, 2000 - December 19, 2000
INTERCAPITAL INTERNATIONAL INC.
August 1, 2000 - January 25, 2002
ICAP SECURITIES USA LLC
August 1, 2000 - December 31, 2004
GARBAN CAPITAL MARKETS LLC
August 1, 2000 - March 3, 2008
INTERCAPITAL SECURITIES LLC
June 5, 2000 - May 19, 2009
TP ICAP GLOBAL MARKETS AMERICAS LLC
September 3, 1997 - May 26, 2000
LABRANCHE FINANCIAL SERVICES, LLC
April 7, 1993 - September 4, 1997
LEHMAN BROTHERS INC.
November 22, 1988 - June 22, 1990
DAIWA CAPITAL MARKETS AMERICA 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
Series 55
Date: 3/13/2001
Limited Representative-Equity Trader ExamSeries 14A
Date: 9/25/1997
Compliance Official Specialist ExamCurrent Firm
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 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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