Bruce M. Sabourin
Professional summary
Bruce Michael Sabourin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bruce is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Bruce had worked at 9 firms, which includes CETERA ADVISORS LLC, STONEX SECURITIES INC., MSI FINANCIAL SERVICES INC., INVESTORS CAPITAL CORP., RAYMOND JAMES FINANCIAL SERVICES INC., SECURITIES AMERICA INC., ROBERT THOMAS SECURITIES INC, DETWILER FENTON & CO., L.C. WEGARD & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2012 - May 28, 2014
CETERA ADVISORS LLC
November 30, 2012 - May 28, 2014
CETERA ADVISORS LLC
February 3, 2011 - December 4, 2012
STONEX SECURITIES INC.
September 18, 2009 - February 24, 2011
MSI FINANCIAL SERVICES, INC.
September 9, 2009 - February 24, 2011
MSI FINANCIAL SERVICES, INC.
February 11, 2005 - September 17, 2009
INVESTORS CAPITAL CORP.
August 24, 2001 - September 17, 2009
INVESTORS CAPITAL CORP.
December 8, 1999 - August 28, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 15, 1998 - December 16, 1999
SECURITIES AMERICA, INC.
December 21, 1995 - October 27, 1998
ROBERT THOMAS SECURITIES, INC
February 10, 1995 - November 22, 1995
DETWILER FENTON & CO.
December 20, 1994 - January 25, 1995
L.C. WEGARD & 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
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
