Bruce E. Marsh
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 Edward Marsh, who also goes by Bruce E Marsh, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1987. Bruce had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2020 - February 28, 2023
PURSHE KAPLAN STERLING INVESTMENTS
June 19, 2020 - August 15, 2022
THRIVENT ADVISOR NETWORK, LLC
December 19, 2013 - July 15, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
February 4, 2009 - July 15, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
July 6, 2004 - November 21, 2008
RBC CAPITAL MARKETS, LLC
July 5, 2000 - November 21, 2008
RBC CAPITAL MARKETS, LLC
February 16, 1994 - July 12, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
October 27, 1987 - February 25, 1994
DAIN RAUSCHER INCORPORATED
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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