Charles S. Bruin
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.
Charles S Bruin, who also goes by C Scott Bruin, Charles Scott Bruin, Charles Bruin, Scott C Bruin, Charles Bruins, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1987. Charles had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2017 - February 28, 2019
CAPFINANCIAL SECURITIES, LLC.
August 11, 2017 - February 28, 2019
CAPTRUST
July 3, 2012 - December 31, 2017
CAPTRUST ADVISORS, LLC
February 27, 2012 - August 7, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 1, 2012 - August 7, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 11, 2010 - August 17, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 10, 2010 - August 17, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 1, 2009 - October 1, 2009
MORGAN STANLEY
June 1, 2009 - October 1, 2009
MORGAN STANLEY
October 19, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 1, 1987 - June 1, 2009
CITIGROUP GLOBAL MARKETS 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 8
Date: 12/18/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPFINANCIAL SECURITIES, LLC.
CRD#: 126291 / SEC#: , 8-65870
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CAPFINANCIAL GROUP, LLC | MEMBER | |
| BUCHANAN, DENISE MCGEE | CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO | 1284353 |
| EARLS, MARY CHRISTINE | SENIOR DIRECTOR/FINOP | 6178047 |
| HOYLE, WILSON SMITH III | MANAGING DIRECTOR | 2444392 |
| SHOFF, DERICK DON | MANAGING DIRECTOR | 1140640 |
| STROTHER, MICHAEL DAVID | SENIOR DIRECTOR, FINOP | 2457427 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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