Michael J. Bruno
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.
Michael James Bruno was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 6, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2012 - June 30, 2015
CUNA BROKERAGE SERVICES, INC.
September 18, 2012 - June 30, 2015
CUNA BROKERAGE SERVICES, INC.
September 6, 2011 - September 12, 2012
KESTRA INVESTMENT SERVICES, LLC
September 6, 2011 - September 12, 2012
KESTRA INVESTMENT SERVICES, LLC
July 8, 2009 - August 16, 2011
KEY INVESTMENT SERVICES LLC
July 8, 2009 - August 16, 2011
KEY INVESTMENT SERVICES LLC
November 11, 2008 - June 22, 2009
WELLS FARGO CLEARING SERVICES, LLC
December 4, 2006 - June 22, 2009
WELLS FARGO CLEARING SERVICES, LLC
April 5, 2006 - December 6, 2006
WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.
June 15, 2002 - April 3, 2006
WELLS FARGO CLEARING SERVICES, LLC
April 26, 2001 - June 15, 2002
WACHOVIA SECURITIES, INC.
February 11, 1998 - April 19, 2001
INVEST FINANCIAL CORPORATION
October 11, 1996 - February 18, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 11, 1996 - February 18, 1998
EQUITABLE ADVISORS, LLC
June 11, 1996 - October 11, 1996
VERAVEST INVESTMENTS, 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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
