John A. Bruno
Professional summary
John Anthony Bruno was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, John had worked at 11 firms, which includes WINDHAM SECURITIES INC., CANTONE RESEARCH INC., J.W. BARCLAY & CO. INC., COMMONWEALTH ASSOCIATES, A.S. GOLDMEN & CO. INC., JOSEPHTHAL & CO. INC., MARKETFIELD SECURITIES LIMITED, NORTH AMERICAN INVESTMENT CORP., PHILIPS APPEL & WALDEN INC., ROONEY PACE INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2002 - December 31, 2002
WINDHAM SECURITIES, INC.
February 13, 2001 - December 13, 2001
CANTONE RESEARCH INC.
August 9, 1991 - February 20, 2001
J.W. BARCLAY & CO., INC.
May 1, 1990 - July 23, 1991
COMMONWEALTH ASSOCIATES
February 10, 1989 - June 4, 1990
A.S. GOLDMEN & CO., INC.
January 3, 1989 - January 25, 1989
JOSEPHTHAL & CO., INC.
August 15, 1988 - September 13, 1989
MARKETFIELD SECURITIES LIMITED
December 22, 1987 - July 25, 1988
NORTH AMERICAN INVESTMENT CORP.
January 21, 1987 - December 24, 1987
PHILIPS, APPEL & WALDEN, INC.
November 11, 1986 - February 3, 1987
ROONEY, PACE INC.
July 23, 1986 - November 26, 1986
LEHMAN BROTHERS 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: 3/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
WINDHAM SECURITIES, INC.
CRD#: 20529 / SEC#: , 8-38311
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
Red Flags
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