Harrison A. Bubrosky
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.
Harrison Alan Bubrosky was a registered financial professional .
Harrison is a previously registered financial professional and started their career in finance in 1990. Harrison had worked at 9 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2014 - July 8, 2014
W.A. CAPITAL MARKETS
April 13, 2012 - March 8, 2013
GLOBAL HUNTER SECURITIES, LLC
November 26, 2008 - January 9, 2009
JEFFERIES HIGH YIELD TRADING, LLC
March 29, 2007 - June 15, 2007
JEFFERIES HIGH YIELD TRADING, LLC
September 11, 2000 - January 9, 2009
JEFFERIES LLC
January 19, 2000 - October 6, 2000
UBS FINANCIAL SERVICES INC.
May 25, 1999 - January 19, 2000
BREAN MURRAY & CO., INC.
May 3, 1999 - May 25, 1999
BREAN MURRAY & CO., INC.
February 29, 1996 - May 10, 1999
GREENWICH HIGH YIELD LLC
February 28, 1996 - May 10, 1999
GREENWICH HIGH YIELD LLC
December 9, 1994 - January 11, 1996
SCOTIA CAPITAL (USA) INC.
February 13, 1990 - August 8, 1994
DABNEY/RESNICK/IMPERIAL, 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
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
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.
