Thomas H. Bruderman
Professional summary
Thomas Henry Bruderman JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Thomas had worked at 3 firms, which includes FIDELITY DISTRIBUTORS CORPORATION, FIDELITY BROKERAGE SERVICES LLC, MERIT CAPITAL ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2003 - December 14, 2004
FIDELITY DISTRIBUTORS CORPORATION
April 18, 1999 - July 21, 2003
FIDELITY BROKERAGE SERVICES LLC
October 4, 1993 - August 12, 1998
MERIT CAPITAL ASSOCIATES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIDELITY DISTRIBUTORS CORPORATION
CRD#: 6848 / SEC#: , 8-8775
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| BACHMAN, ROBERT FROLICH | EXECUTIVE VICE PRESIDENT | 2540486 |
| DEPIERO, MATTHEW | DIRECTOR | 6947009 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| LYONS, MICHAEL JOSEPH | CFO | 4610621 |
| MARLINSKI, JUDY ANNE | PRESIDENT/CEO/DIRECTOR | 6751775 |
| MULCAHY, TIMOTHY MICHAEL | DIRECTOR | 3083260 |
| ROTHMAN, PHILIP | CHIEF COMPLIANCE OFFICER | 4883519 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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