Bruce M. Cooley
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 M Cooley, who also goes by Bruce Melvyn Cooley Jr, Bruce Melvyn Cooley, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1991. Bruce had worked at 11 firms and has passed the 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 23, 2016 - April 27, 2017
CENTAURUS FINANCIAL, INC.
March 3, 2011 - November 1, 2016
MADISON AVENUE SECURITIES, LLC
March 2, 2011 - November 1, 2016
MADISON AVENUE SECURITIES, LLC
May 2, 2009 - May 27, 2009
CHASE INVESTMENT SERVICES CORP.
April 10, 2001 - May 2, 2009
WAMU INVESTMENTS, INC.
November 13, 1998 - January 17, 2001
FIXED INCOME SECURITIES, INC.
May 30, 1996 - March 27, 1998
JACK WHITE & COMPANY, INC.
April 12, 1995 - May 3, 1996
SCOTTRADE, INC.
May 10, 1994 - July 30, 1994
GLOBAL CAPITAL SECURITIES CORPORATION
August 18, 1992 - January 28, 1994
DICKINSON & CO.
June 5, 1992 - July 21, 1992
PAULSON INVESTMENT COMPANY LLC
November 25, 1991 - April 23, 1992
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
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
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
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.
