Bruce E. Klopfenstein
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 Elmer Klopfenstein was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1989. Bruce had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2005 - November 1, 2018
AMERICAN FINANCIAL ASSOCIATES, INC.
September 17, 1993 - September 8, 2005
INVESTACORP, INC.
May 15, 1989 - September 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 15, 1989 - September 10, 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
AMERICAN FINANCIAL ASSOCIATES, INC.
CRD#: 29049 / SEC#: , 8-44065
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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.
