Colin R. Bruce
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.
Colin Robert Bruce III, who also goes by Colin Robert Bruce, Robbie Bruce, was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 1988. Colin had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2006 - October 28, 2014
FIRST MIDWEST SECURITIES, INC.
March 16, 2001 - March 10, 2006
SALOMON GREY FINANCIAL CORPORATION
December 19, 2000 - March 28, 2001
AUERBACH, POLLAK & RICHARDSON INC.
December 12, 1996 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
July 27, 1995 - November 21, 1996
BARRON CHASE SECURITIES, INC.
November 7, 1994 - July 28, 1995
DICKINSON & CO.
May 2, 1994 - November 9, 1994
JOSEPHTHAL & CO., INC.
June 23, 1992 - April 21, 1994
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
February 23, 1988 - June 27, 1992
J. W. GANT & ASSOCIATES, 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
FIRST MIDWEST SECURITIES, INC.
CRD#: 21786 / SEC#: 801-67749, 8-38139
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
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