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BT

Bruce L. Troyer

Some features on this profile are disabled
CRD#: 2567737
BT

Professional summary

Bruce Lynn Troyer 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 professional and started their career in finance in 1995. Prior to being barred, Bruce had worked at 5 firms, which includes DONALD & CO. SECURITIES INC., AMERITAS INVESTMENT COMPANY LLC, RIVERSTONE WEALTH MANAGEMENT INC., BIRCHTREE FINANCIAL SERVICES LLC, DICKINSON & CO..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 18, 1999 - December 4, 2001

DONALD & CO. SECURITIES INC.

BD
CRD#: 7776
TINTON FALLS, NJ
Past

June 10, 1999 - November 15, 1999

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

October 15, 1998 - June 16, 1999

RIVERSTONE WEALTH MANAGEMENT, INC.

BD
CRD#: 40418
AUSTIN, TX
Past

March 2, 1998 - October 21, 1998

BIRCHTREE FINANCIAL SERVICES LLC

BD
CRD#: 15014
MINNEAPOLIS, MN
Past

February 20, 1997 - March 27, 1998

DONALD & CO. SECURITIES INC.

BD
CRD#: 7776
TINTON FALLS, NJ
Past

January 20, 1995 - February 25, 1997

DICKINSON & CO.

BD
CRD#: 689
DES MOINES, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/2/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/18/1995
General Securities Representative Examination

Current Firm

D&
DONALD & CO. SECURITIES INC.
DONALD & CO. SECURITIES INC.

CRD#: 7776 / SEC#: , 8-20952

BD
Terminated by SEC on 11/09/2002
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 05/19/1976
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
THCG INC.PARENT/HOLDING CO.
BLUM, STEPHEN ALLANPRESIDENT/CEO600373
MATTIA, LESLIE ANTHONYCHIEF COMPLIANCE OFFICER1469405
PONTECORVO, ANTHONYSEC/TREAS810358
SCIPIONE, CARL EUGENEC.F.O3000672

Disclosures

Regulatory Event21
Civil Event2
Arbitration12

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.

Company Information

DONALD & CO. SECURITIES INC.

CRD#: 7776

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