Bruce E. Rich
Professional summary
Bruce Elliot Rich was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bruce is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Bruce had worked at 9 firms, which includes FLORIDA DISCOUNT SECURITIES INC., TAYLOR STUART FINANCIAL INC., H.J. MEYERS & CO. INC., GKN SECURITIES CORP., DUKE & CO. INC., BERKELEY SECURITIES CORPORATION, REICH & CO. INC., PARAGON CAPITAL MARKETS INC., ROYCE INVESTMENT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2000 - October 18, 2002
FLORIDA DISCOUNT SECURITIES, INC.
February 28, 2000 - October 2, 2000
TAYLOR STUART FINANCIAL, INC.
August 24, 1994 - February 14, 1995
H.J. MEYERS & CO., INC.
June 4, 1993 - August 18, 1994
GKN SECURITIES CORP.
October 15, 1992 - April 21, 1993
DUKE & CO., INC.
August 3, 1992 - September 23, 1992
BERKELEY SECURITIES CORPORATION
March 16, 1992 - July 28, 1992
REICH & CO., INC.
October 11, 1991 - March 18, 1992
BERKELEY SECURITIES CORPORATION
February 13, 1991 - September 4, 1991
PARAGON CAPITAL MARKETS, INC.
November 15, 1989 - March 28, 1990
ROYCE INVESTMENT GROUP, INC.
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 55
Date: 10/18/2000
Limited Representative-Equity Trader ExamSeries 62
Date: 11/13/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
FLORIDA DISCOUNT SECURITIES, INC.
CRD#: 44859 / SEC#: , 8-50855
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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