Bruce D. Wise
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 Douglas Wise, CFP® was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1992. Bruce had worked at 12 firms and has passed the Series 65, 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
Start date: 1994
Experience
April 24, 2019 - December 1, 2025
MUTUAL SECURITIES, INC.
April 22, 2019 - December 1, 2025
MUTUAL ADVISORS, LLC
October 30, 2017 - March 30, 2018
SECURITIES AMERICA, INC.
October 17, 2017 - August 20, 2019
FULCRUM WEALTH MANAGEMENT
March 1, 2010 - September 20, 2017
WFG ADVISORS, LP
March 1, 2010 - September 20, 2017
WFG INVESTMENTS, INC.
March 5, 2007 - July 30, 2010
JAMES E.BASHAW & CO.
January 26, 2007 - March 8, 2010
LPL FINANCIAL LLC
January 26, 2007 - March 8, 2010
LPL FINANCIAL LLC
January 28, 2000 - February 20, 2007
MDK FINANCIAL GROUP, INC.
August 14, 1992 - April 2, 2007
OSAIC WEALTH, INC.
March 20, 1992 - July 30, 1992
METROPOLITAN LIFE INSURANCE COMPANY
March 20, 1992 - July 30, 1992
MSI FINANCIAL SERVICES, INC.
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
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
Red Flags
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