Bruce F. Supanik
Professional summary
Bruce Francis Supanik 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 4 firms, which includes THE O.N. EQUITY SALES COMPANY, ASSOCIATED PLANNERS INVESTMENT ADVISORY INC, ASSOCIATED SECURITIES CORP., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2013 - March 21, 2013
THE O.N. EQUITY SALES COMPANY
March 11, 2005 - December 31, 2012
THE O.N. EQUITY SALES COMPANY
August 15, 2002 - March 16, 2005
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
July 1, 2002 - March 16, 2005
ASSOCIATED SECURITIES CORP.
November 23, 1994 - July 2, 2002
MORGAN STANLEY DW INC.
November 16, 1994 - July 2, 2002
MORGAN STANLEY DW 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
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 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.
