Bruce L. Hartberg
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 Lowell Hartberg, who also goes by Bruce Hartberg, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1987. Bruce had worked at 3 firms and has passed the Series 63 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 1992 - December 15, 1994
ROCKWELL FINANCIAL, INC.
March 31, 1987 - January 30, 1992
BROKERS INVESTMENT CORPORATION
February 12, 1987 - April 15, 1987
WENTWORTH SECURITIES, 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
Current Firm
ROCKWELL FINANCIAL, INC.
CRD#: 16350 / SEC#: , 8-33800
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
