Nicholas J. Bruzzese
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.
Nicholas Joseph Bruzzese was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1994. Nicholas had worked at 11 firms and has passed the Series 63 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
October 24, 2013 - November 7, 2013
PHX FINANCIAL, INC.
May 17, 2013 - August 30, 2013
LAMPERT CAPITAL MARKETS INC.
May 17, 2011 - November 14, 2011
SOUTHEAST INVESTMENTS, N.C., INC.
March 20, 2008 - June 1, 2009
NYLIFE SECURITIES LLC
July 10, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
July 10, 2006 - March 7, 2008
MSI FINANCIAL SERVICES, INC.
June 19, 2003 - June 29, 2004
LEGEND SECURITIES, INC.
January 2, 2000 - June 29, 2001
DMK ADVISOR GROUP, INC.
October 2, 1996 - January 30, 1998
CONTINENTAL BROKER-DEALER CORP.
March 22, 1996 - February 18, 1997
LCP CAPITAL CORP.
August 26, 1994 - February 10, 1996
J.W. BARCLAY & CO., 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
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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