Bron J. Scherer
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.
Bron James Scherer, who also goes by Bron James Scherer Mr., was a registered financial professional .
Bron is a previously registered financial professional and started their career in finance in 1991. Bron had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2012 - October 31, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 28, 2011 - October 31, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 12, 2004 - August 26, 2011
GENEOS WEALTH MANAGEMENT, INC.
March 12, 2004 - August 26, 2011
GENEOS WEALTH MANAGEMENT, INC.
December 4, 2003 - March 12, 2004
UNITED SECURITIES ALLIANCE, INC.
October 6, 2003 - March 12, 2004
UNITED SECURITIES ALLIANCE, INC.
April 1, 2002 - October 10, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 7, 1999 - April 1, 2002
WORKMAN SECURITIES CORPORATION
August 2, 1991 - January 7, 1999
CETERA ADVISORS 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
