Bruce C. Schallman
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 Charles Schallman was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1992. Bruce had worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 3 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
January 2, 2015 - February 2, 2022
SG AMERICAS SECURITIES, LLC
September 1, 2008 - January 2, 2015
NEWEDGE USA, LLC
January 22, 2001 - September 1, 2008
NEWEDGE FINANCIAL INC.
February 25, 2000 - November 20, 2000
LFG, L.L.C.
January 7, 1997 - February 1, 1999
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
December 18, 1995 - March 7, 1996
HARRIS INVESTORLINE
May 18, 1995 - October 27, 1995
RECOM SECURITIES, INC.
July 10, 1992 - January 12, 1995
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
April 22, 1992 - June 19, 1992
BARRON CHASE SECURITIES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CO - CHIEF EXECUTIVE OFFICER | 6390499 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| VAN HAUWERMEIREN, GUIDO MARIA | CO - CHIEF EXECUTIVE OFFICER | 5974025 |
| WALSH, MICHAEL PATRICK | PRINCIPAL OPERATIONS OFFICER | 1060871 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
Red Flags
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