Bruce D. Frace
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.
Bruce David Frace was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1973. Bruce had worked at 6 firms and has passed the Series 63, SIE, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2009 - November 14, 2019
BOENNING & SCATTERGOOD, INC.
April 24, 2009 - November 14, 2019
BOENNING & SCATTERGOOD, INC.
June 29, 2006 - April 29, 2009
JANNEY MONTGOMERY SCOTT LLC
October 3, 1988 - April 29, 2009
JANNEY MONTGOMERY SCOTT LLC
February 26, 1988 - October 6, 1988
LEGG MASON WOOD WALKER, INCORPORATED
August 8, 1980 - February 27, 1988
MOSELEY SECURITIES CORPORATION
July 8, 1974 - August 31, 1980
THOMSON MCKINNON SECURITIES INC.
September 13, 1973 - August 19, 1975
W. E. HUTTON & CO.
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
PC
Date: 3/30/1990
AMEX Put and Call ExamSeries 1
Date: 9/10/1973
Registered Representative ExaminationSeries 8
Date: 6/22/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BOENNING & SCATTERGOOD, INC.
CRD#: 100 / SEC#: 801-68111, 8-15543
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOENNING & SCATTERGOOD HOLDINGS | HOLDING CO OF BOENNING & SCATTERGOOD INC | |
| MADDALONI, ANDREW MICHAEL | DIRECTOR | 2825865 |
| MARA, GEORGE MICHAEL JR | CHIEF COMPLIANCE OFFICER | 1574331 |
| MARA, GEORGE MICHAEL JR | PRESIDENT | 1574331 |
| SCATTERGOOD, HAROLD FRANCIS JR | DIRECTOR | 412133 |
| STANNARD, JEFFREY TAPPAN | DIRECTOR | 1337225 |
| WEIGAND, DALE ROBERT | DIRECTOR, CHIEF FINANCIAL OFFICER,FINOP | 1374549 |
Regulatory assets under management
| Total Number of Accounts | 1,321 |
| AUM (Assets Under Management) | $ 1,157,621,985 |
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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