Bruce Brochhagen
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 Brochhagen, who also goes by Bruce Peter Brochhagen, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1991. Bruce had worked at 12 firms and has passed the Series 65, Series 63, SIE, 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
November 21, 2014 - February 21, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 20, 2014 - February 21, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 28, 2012 - October 23, 2014
MSI FINANCIAL SERVICES, INC.
December 16, 2011 - September 4, 2013
WALNUT STREET SECURITIES, INC.
December 16, 2011 - September 4, 2013
TOWER SQUARE SECURITIES, INC.
December 16, 2011 - October 23, 2014
NEW ENGLAND SECURITIES
December 14, 2011 - October 23, 2014
MSI FINANCIAL SERVICES, INC.
June 1, 2009 - December 8, 2011
MORGAN STANLEY
June 1, 2009 - December 8, 2011
MORGAN STANLEY
January 12, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 12, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 1, 2004 - January 14, 2005
PNC WEALTH MANAGEMENT LLC
January 1, 2004 - January 14, 2005
PNC WEALTH MANAGEMENT LLC
June 6, 2003 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
June 1, 2002 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
September 27, 1995 - June 1, 2002
PNC BROKERAGE CORP
May 28, 1993 - October 12, 1995
CHEMICAL INVESTOR SERVICES, INC.
November 19, 1991 - May 27, 1993
HIBBARD BROWN & CO., INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
