Bruce E. Nakfoor
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 Emil Nakfoor was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1994. Bruce had worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2015 - November 28, 2023
SUNBELT SECURITIES, INC.
November 7, 2007 - February 26, 2013
SUNBELT SECURITIES, INC.
October 6, 2005 - April 13, 2006
SUNBELT SECURITIES, INC.
March 3, 2003 - July 7, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
January 23, 2003 - March 3, 2003
RUMSON CAPITAL, LLC
September 16, 2002 - April 20, 2004
TEJAS SECURITIES GROUP, INC.
February 28, 2002 - September 13, 2002
HEARTLAND SECURITIES CORP.
June 17, 1998 - February 13, 2002
ORION TRADING, LLC
June 13, 1994 - January 22, 1999
TEXAS CAPITAL SECURITIES, INC.
Primary Firm SEC Registration
SUNBELT SECURITIES, INC.
CRD#: 42180 / SEC#: 801-71479, 8-49748
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/20/1998
Limited Representative-Equity Trader ExamCurrent Firm
SUNBELT SECURITIES, INC.
CRD#: 42180 / SEC#: 801-71479, 8-49748
Contact information
SEC notice filing (39 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BUCKLEY, THOMAS FRANCIS | FINANCIAL OPERATIONS PRINCIPAL | 1563361 |
| MILLER, RAYMOND JOSEPH | OFFICE MANAGER/COMPLIANCE | 856248 |
| SMETEK, DAVID ANTHONY | PRESIDENT / SECRETARY | 1246996 |
| SMETEK, PATRICK JOSEPH | REGISTERED OPTIONS PRINICPAL | 1052695 |
| SMETEK, PATRICK JOSEPH | CHIEF COMPLIANCE OFFICER | 1052695 |
| YOUNG, DAGNY WRIGHT | MUNICIPAL SECURITIES PRINCIPAL | 2050615 |
Regulatory assets under management
| Total Number of Accounts | 5,355 |
| AUM (Assets Under Management) | $ 2,024,286,577 |
Disclosures
| Regulatory Event | 2 |
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.
