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CB

Christopher S. Bruno

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CRD#: 1974479
CB

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.

Christopher Scott Bruno, CFP® was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1989. Christopher had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

October 10, 2018 - May 14, 2020

NYPPEX, LLC

BD
CRD#: 47654
LANSING, MI
Past

June 22, 2016 - May 22, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
FAIRFIELD, CT
Past

June 6, 2016 - May 22, 2018

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
FAIRFIELD, CT
Past

December 22, 2015 - April 28, 2016

NMS CAPITAL ASSET MANAGEMENT, INC.

RIA
CRD#: 149678
Newtown, CT
Past

December 14, 2015 - April 28, 2016

HB SECURITIES, LLC

BD
CRD#: 140356
New York, NY
Past

April 20, 1993 - June 8, 1995

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

December 23, 1991 - October 27, 1992

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

May 22, 1990 - July 1, 1991

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

August 22, 1989 - June 1, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/22/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/6/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/22/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/14/2015
General Securities Representative Examination

Current Firm

NL
NYPPEX, LLC
ALLEN CAPITAL MARKETS LLC | OFFROAD RESEARCH | OFFROAD CAPITAL MARKETS LLC | OFFROAD CAPITAL | OFFROAD ADVISORS | NYPPEX, LLC | NYPPEX PRIVATE MARKETS | NYPPE, LLC | NYPPE NETWORKS LLC | NYPPE LLC | NEW YORK PRIVATE PLACEMENT NETWORK, LLC | NEW YORK PRIVATE PLACEMENT EXCHANGE LLC

CRD#: 47654 / SEC#: , 8-51849

BD
Approved by SEC on 11/29/1999
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/27/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NYPPEX HOLDINGS LLCOWNER
VITTOR, GREG TODDFINOP1864219
SCHUNK, MICHAEL JOSEPHCHIEF COMPLIANCE OFFICER732595

Disclosures

Regulatory Event10
Civil Event4

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.

Company Information

NYPPEX, LLC

CRD#: 47654

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