Lyman J. Bruhn
Professional summary
Lyman John Bruhn was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lyman is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Lyman had worked at 6 firms, which includes SUTRO & CO. INCORPORATED, CHARTER INVESTMENT GROUP INC., WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 1999 - January 20, 2000
SUTRO & CO. INCORPORATED
April 30, 1998 - February 8, 1999
CHARTER INVESTMENT GROUP, INC.
April 4, 1996 - April 13, 1998
WELLS FARGO CLEARING SERVICES, LLC
August 13, 1993 - April 4, 1996
PRUDENTIAL EQUITY GROUP, LLC
September 29, 1988 - June 8, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 29, 1988 - June 8, 1993
PRUCO SECURITIES, LLC.
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
SUTRO & CO. INCORPORATED
CRD#: 801 / SEC#: , 8-15491
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE SUTRO GROUP | HOLDING CO. / SUTRO & CO. | |
| DELANEY, MARY JANE | EXECUTIVE VICE PRESIDENT / GENERAL COUNSEL / SECRETARY | 1194845 |
| HUBBARD, CHARLES WILLIAM | EXECUTIVE VICE PRESIDENT/DIRECTOR | 846511 |
| LUIKART, JOHN FORD | CEO | 314209 |
| MATSUI, ROGER NAOKI | CHIEF FINANCIAL OFFICER | 1672347 |
| MCCARTHY, DENIS JOSEPH | DIRECTOR OF COMPLIANCE REGULATORY AFFAIRS | 1415768 |
| PHILLIPS, JERRY DON | EXECUTIVE VICE PRESIDENT | 1308109 |
| TUCKER ANTHONY SUTRO INCORPORATED | PARENT COMPANY | |
| WILLFONG, DONALD JAMES | DIRECTOR | 467416 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
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