BR
Bruce E. Roberts
BEECH HILL SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 2359901
BR
Professional summary
Bruce Edward Roberts is a registered financial professional currently at BEECH HILL SECURITIES, INC. located in New York, New York.
Bruce is registered as a RR (Registered Representative) and started their career in finance in 1993. Bruce has worked at 2 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Bruce Edward Roberts's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 8, 2014 - Present
BEECH HILL SECURITIES, INC.
Office #1: 880 Third Avenue 16th Floor, New York, NY 10022BD
CRD#: 24771
New York, NY
Past
October 30, 1993 - October 17, 2014
ROBERTS MITANI, LLC
BD
CRD#: 30022
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/8/2014)
RR
Connecticut(10/8/2014)
RR
District of Columbia(10/8/2014)
RR
Florida(10/8/2014)
RR
Georgia(1/5/2024)
RR
Illinois(10/8/2014)
RR
Massachusetts(11/10/2014)
RR
Minnesota(10/8/2014)
RR
Nevada(10/8/2014)
RR
New Jersey(10/8/2014)
RR
New York(10/8/2014)
RR
North Carolina(1/9/2024)
RR
Pennsylvania(10/8/2014)
RR
Texas(10/8/2014)
RR
Utah(1/4/2024)
RR
Virginia(10/8/2014)
RR
Washington(10/8/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BH
BEECH HILL SECURITIES, INC.
BEECH HILL SECURITIES, INC. | CANTOR, WEISS & FRIEDNER, INC. | CANTOR & WEISS, INC. | BH INDEPENDENT ADVISOR SOLUTIONS
CRD#: 24771 / SEC#: , 8-41389
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
880 3rd Avenue 16th Floor, New York, NY 10022-4730
Mailing Address
880 3rd Avenue 16th Floor, New York, NY 10022-4730
Phone number
(212) 350-7200
Established
New York since 05/12/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IANNUZZI, ADOLFO VINCENT | CFO / CCO- MUTUAL FUNDS | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CHIEF EXECUTIVE OFFICER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | PRESIDENT | 2874669 |
| IANNUZZI, ADOLFO VINCENT | OWNER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CORP SECY | 2874669 |
| CANTOR, PAUL SETH | OWNER | 39844 |
| CATANIA, FERDINANDO JR | CCO - MUNICIPALS | 3263571 |
| FIORINI, DONNA ANNE | EXECUTIVE REPRESENTATIVE | 1289258 |
| FIORINI, DONNA ANNE | CCO - GENERAL COMPLIANCE | 1289258 |
Disclosures
| Regulatory Event | 6 |
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.
