James M. Bruderman
Professional summary
James Matthew Bruderman, who also goes by James M. Bruderman, Jim Bruderman, is a registered financial advisor currently at BRUDERMAN PRIVATE WEALTH located in Locust Valley, New York.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Matthew Bruderman's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 18, 2022 - Present
BRUDERMAN PRIVATE WEALTH
Office #1: 113 Birch Hill Road, Locust Valley, NY 11560July 7, 2017 - October 19, 2022
GARY GOLDBERG PLANNING SERVICES
June 16, 2016 - December 31, 2022
GARY GOLDBERG & CO., LLC
December 13, 1993 - May 13, 2011
CHARLES SCHWAB & CO., INC.
February 20, 1992 - July 28, 1993
GLEACHER & COMPANY SECURITIES, INC.
Primary Firm SEC Registration
BRUDERMAN PRIVATE WEALTH
CRD#: 323195 / SEC#: 801-126644
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/25/2022)
(10/18/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 10/23/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BRUDERMAN PRIVATE WEALTH
CRD#: 323195 / SEC#: 801-126644
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 46 |
| AUM (Assets Under Management) | $ 66,308,888 |
Red Flags
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