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DE

David B. Elliott

Some features on this profile are disabled
CRD#: 200145
DE

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.

David Bruce Elliott, who also goes by Bruce Elliott, D. Bruce Elliott, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1972. David had worked at 4 firms and has passed the Series 63, Series 5 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bruce Elliott | D. Bruce Elliott

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®
None

Experience

Past

January 1, 2004 - July 5, 2005

JEFFERIES BACHE SECURITIES, LLC

BD
CRD#: 127733
NEW YORK, NY
Past

April 14, 2000 - January 1, 2004

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

September 26, 1978 - February 28, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 9, 1972 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572

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
Series 63
Date: 10/11/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 11/18/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 1
Date: 3/6/1972
Registered Representative Examination

Current Firm

JB
JEFFERIES BACHE SECURITIES, LLC
JEFFERIES BACHE SECURITIES, LLC | PRUDENTIAL BACHE SECURITIES, LLC | PRU GLOBAL SECURITIES, LLC | PRU GLOBAL SECURITIES LLC

CRD#: 127733 / SEC#: , 8-66040

BD
Terminated by SEC on 01/24/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/10/2003
Firm type
Limited Liability Company
Fiscal year end
November
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JEFFERIES BACHE HOLDINGS, LLCSOLE MEMBER
ALBANO, ROBERT JOSEPHCHIEF COMPLIANCE OFFICER875912
BLANC, PATRICE ETIENNECHIEF EXECUTIVE OFFICER1972464
BYRNE, RYAN KMANAGER AND VICE PRESIDENT2540646
NOCE, JOSEPH JOHNPRESIDENT, BRANCH MANAGER AND FIRST VICE PRESIDENT1578734
TRAPASSO, ANTHONYMANAGER, CHIEF FINANCIAL OFFICER, FINANCIAL AND OPERATIONS PRINCIPAL1545537

Disclosures

Regulatory Event2

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

JEFFERIES BACHE SECURITIES, LLC

CRD#: 127733

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