Bruce N. Saxon
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 Nmn Saxon, who also goes by Bruce Saxon, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1986. Bruce had worked at 9 firms and has passed the Series 63, Series 65, Series 99TO, Series 52TO, SIE, Series 50, Series 7, Series 14, Series 54, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2019 - September 14, 2020
LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC
November 20, 2013 - August 2, 2017
LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC
November 20, 2013 - July 9, 2024
JONES LANG LASALLE SECURITIES, LLC
February 6, 2006 - October 31, 2013
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
May 20, 2002 - December 31, 2005
HARRISDIRECT LLC
May 17, 2002 - December 31, 2005
HARRISDIRECT LLC
December 9, 2000 - June 28, 2002
HARRIS INVESTORLINE INC.
February 18, 2000 - December 9, 2000
HARRIS INVESTORLINE
August 19, 1999 - April 15, 2000
HARRIS INVESTORS DIRECT, INC.
July 21, 1992 - August 22, 1999
INVESCO CAPITAL MARKETS, INC.
May 21, 1986 - January 14, 1987
CETERA FINANCIAL SPECIALISTS LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC
CRD#: 157625 / SEC#: , 8-68856
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Red Flags
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