Bruce E. Straughn
Professional summary
Bruce Edward Straughn 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 1988. Prior to being barred, Bruce had worked at 6 firms, which includes PACIFIC CORTEZ SECURITIES INCORPORATED, PAULSON INVESTMENT COMPANY LLC, HAYNE MILLER FINANCIAL INC., WHITEHOUSE & MOORE INVESTMENTS INC., TAMARON INVESTMENTS INC., UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 1993 - November 8, 1996
PACIFIC CORTEZ SECURITIES INCORPORATED
May 13, 1991 - June 23, 1993
PAULSON INVESTMENT COMPANY LLC
January 25, 1991 - April 1, 1991
HAYNE, MILLER FINANCIAL, INC.
October 18, 1990 - March 14, 1991
WHITEHOUSE & MOORE INVESTMENTS, INC.
January 31, 1989 - November 15, 1990
TAMARON INVESTMENTS, INC.
February 23, 1988 - February 8, 1989
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
PACIFIC CORTEZ SECURITIES INCORPORATED
CRD#: 24341 / SEC#: , 8-38514
Contact information
Documents
Red Flags
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