Bruce Palm
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 Palm, who also goes by Bruce Robert Palm, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1994. Bruce had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2019 - August 3, 2026
INVESCO DISTRIBUTORS, INC.
January 29, 2016 - May 25, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
September 27, 2012 - January 19, 2016
NEUBERGER BERMAN BD LLC
August 9, 2012 - January 19, 2016
NEUBERGER BERMAN BD LLC
September 7, 2007 - August 6, 2012
TOUCHSTONE ADVISORS INC
August 21, 2007 - August 6, 2012
TOUCHSTONE SECURITIES, LLC
May 18, 2007 - August 22, 2007
RIVERSOURCE DISTRIBUTORS, INC.
April 19, 2005 - February 2, 2007
RBC CAPITAL MARKETS, LLC
August 6, 1998 - February 2, 2007
RBC CAPITAL MARKETS, LLC
January 6, 1998 - July 17, 1998
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
April 3, 1996 - July 17, 1998
IDS LIFE INSURANCE COMPANY
April 3, 1996 - July 17, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
October 26, 1994 - October 26, 1995
JOHN G. KINNARD AND COMPANY, INCORPORATED
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
INVESCO DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
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.
