Robert Bruno
Professional Summary
Robert Bruno is a registered financial advisor currently at FEF DISTRIBUTORS, LLC located in Denver, Colorado. Robert is registered as a RR (Registered Representative) and started their career in finance in 1991. Robert has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 24, Series 8, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
ASB SECURITIES, INC. | FEF DISTRIBUTORS, LLC | ASB SECURITIES, LLC
Contact Information
Main Address
1345 Avenue Of The Americas, New York, NY 10105-4800Mailing Address
1345 Avenue Of The Americas, New York, NY 10105-4800Phone Number
(212) 698-3300Established
Delaware since 01/27/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | MANAGING MEMBER | 108260 |
| BRUNO, ROBERT | MANAGER | 2102844 |
| CONSTANTINO, MICHAEL | MANAGER | 2932606 |
| DILLON, ERIN KAY | CHIEF COMPLIANCE OFFICER | 6173659 |
| FONG, CHUN WAI | CHIEF FINANCIAL OFFICER AND FINOP | 4944446 |
| OCONNOR, DAVID | GENERAL COUNSEL AND MANAGER | 5077118 |
| RICCIO, FRANK JOSEPH | PRESIDENT AND MANAGER | 4271374 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(10/9/2002)
(9/25/2002)
(9/17/2002)
(1/3/2005)
(9/12/2002)
(8/29/2002)
(9/4/2002)
(9/18/2002)
(9/10/2002)
(9/10/2002)
(9/5/2002)
(10/30/2002)
(9/3/2002)
(9/13/2002)
(10/23/2002)
(10/24/2002)
(9/3/2002)
(8/29/2002)
(9/9/2002)
(9/24/2002)
(9/25/2002)
(9/18/2002)
(9/18/2002)
(8/28/2002)
(9/4/2002)
(9/12/2002)
(9/12/2002)
(9/11/2002)
(9/10/2002)
(9/27/2002)
(10/3/2002)
(9/9/2002)
(8/27/2002)
(9/6/2002)
(10/1/2002)
(9/4/2002)
(8/29/2002)
(10/23/2002)
(9/20/2002)
(6/16/2005)
(10/1/2002)
(9/4/2002)
(8/29/2002)
(11/6/2002)
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(10/8/2002)
(8/28/2002)
(9/3/2002)
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(9/23/2002)
(9/26/2002)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Sep 1992Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Sep 1992About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Sep 1992About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Robert Bruno's CRS (Customer Relationship Summary).
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