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Bruce Bray

CRD# 1792336·Registered 1988 - 1990
Previously Registered: Being a previously registered professional could mean that Bruce 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.

Professional Summary

Bruce Bray, who also goes by Bruce Braycewski, was a registered financial advisor. Bruce was a previously registered financial professional and started their career in finance 1988 - 1990. Bruce had worked at 4 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Bruce Braycewski

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

38 years in the financial services industry

Current & Past Employments

JONATHAN ALAN & CO., INC.·CRD# 15914
BD
August 31, 1989 - February 8, 1990
NETWORK 1 FINANCIAL SECURITIES INC.·CRD# 13577
BD
January 16, 1989 - March 4, 1989
ALLIED CAPITAL GROUP, INC.·CRD# 13146
BD
March 4, 1988 - January 20, 1989
GRAYSTONE NASH, INC.·CRD# 10635
BD
February 23, 1988 - March 22, 1988

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Current Firm

JA
JONATHAN ALAN & CO., INC.

FIRST ASSOCIATED FINANCIAL GROUP, LTD. | JONATHAN ALAN & CO., INC.

CRD#: 15914 / SEC#: 8-32952
BD
Cancelled by FINRA on 10/21/1991

Contact Information

Established

New York since 11/20/1984

Firm Type

Corporation

Fiscal Year End

March

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1988About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Mar 1989About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Feb 1988About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 1989About the Series 24 exam

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CRS (Client Relationship Summary)

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

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