Bruno C. Lavion
Professional summary
Bruno Charles Lavion is a registered financial professional currently at ROYCE FUND SERVICES, LLC located in New York, New York.
Bruno is registered as a RR (Registered Representative) and started their career in finance in 1989. Bruno has worked at 3 firms and has passed the Series 63, Series 99TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Bruno Charles Lavion's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 26, 1996 - Present
ROYCE FUND SERVICES, LLC
Office #1: One Madison Avenue 17th Floor, New York, NY 10010Office #2: One Madison Avenue 17th Floor, New York, NY 10010April 28, 1992 - November 17, 1995
OCC DISTRIBUTORS LLC
July 13, 1989 - June 17, 1991
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
ROYCE FUND SERVICES, LLC
CRD#: 14470 / SEC#: , 8-28663
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROYCE & ASSOCIATES, LP | MEMBER | |
| CLARK, CHRISTOPHER DEWITT | PRESIDENT, SUPERVISORY PRINCIPAL | 1735713 |
| DENNEEN, JOHN EDWARD | SECRETARY, GENERAL COUNSEL | 4324430 |
| GANNON, FRANCIS DOYLE | VICE PRESIDENT | 2420802 |
| PALASITS, THOMAS R | TREASURER, FINANCIAL & OPERATIONS PRINCIPAL | 1675575 |
| WILSON, DAVID BERTRAND | CHIEF COMPLIANCE OFFICER | 5780721 |
Red Flags
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