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BF

Bruce M. Follick

Some features on this profile are disabled
CRD#: 1655183
BF

Professional summary

Bruce Michael Follick was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Bruce is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Bruce had worked at 9 firms, which includes MARSH BLOCK & CO. INC., MALONE & ASSOCIATES INC., PRINCETON FINANCIAL GROUP INC., PAULSON INVESTMENT COMPANY LLC, BAIRD PATRICK & CO. INC., FIRST MONTAUK SECURITIES CORP., JONATHAN ALAN & CO. INC., J. T. MORAN & CO. INC., MONMOUTH INVESTMENTS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 1, 1991 - December 10, 1991

MARSH, BLOCK & CO. INC.

BD
CRD#: 11194
NEW YORK, NY
Past

October 31, 1990 - November 26, 1990

MALONE & ASSOCIATES, INC.

BD
CRD#: 10412
DENVER, CO
Past

May 15, 1990 - September 6, 1990

PRINCETON FINANCIAL GROUP, INC.

BD
CRD#: 14597
Past

May 9, 1990 - May 14, 1990

PAULSON INVESTMENT COMPANY LLC

BD
CRD#: 5670
PORTLAND, OR
Past

February 14, 1990 - April 9, 1990

BAIRD, PATRICK & CO., INC.

BD
CRD#: 1149
FAIRFIELD, NJ
Past

January 8, 1990 - February 10, 1990

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

September 1, 1989 - January 1, 1990

JONATHAN ALAN & CO., INC.

BD
CRD#: 15914
Past

November 8, 1988 - July 11, 1989

J. T. MORAN & CO., INC.

BD
CRD#: 15655
Past

June 12, 1987 - September 13, 1991

MONMOUTH INVESTMENTS, INC.

BD
CRD#: 14047

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/22/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/25/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/5/1989
General Securities Principal Examination

Current Firm

MB
MARSH, BLOCK & CO. INC.
MARSH BLOCK NOVA & CO., INC. | MARSH, BLOCK & CO., INC. | MARSH, BLOCK & CO. INC.

CRD#: 11194 / SEC#: , 8-15047

BD
Revoked by SEC on 02/08/1999
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Contact information

Main Address
Mailing Address
Phone number
Established
Firm type
Corporation
Fiscal year end
December
# of Employees

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.

Company Information

MARSH, BLOCK & CO. INC.

CRD#: 11194

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