Bruce I. Whitman
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 Ian Whitman was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1994. Bruce had worked at 5 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 1997 - January 16, 2002
WALL STREET FINANCIAL GROUP, INC.
June 7, 1996 - April 16, 1997
SII INVESTMENTS, INC.
December 19, 1995 - July 9, 1996
SECURITIES SERVICE NETWORK, LLC
November 23, 1994 - January 11, 1996
WMA SECURITIES, INC.
April 21, 1994 - November 15, 1994
AMERICAN CLASSIC 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
Current Firm
WALL STREET FINANCIAL GROUP, INC.
CRD#: 35830 / SEC#: 801-58292, 8-46964
Contact information
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
