Robert N. Bruce

STRATCAP SECURITIES

NEW YORK, NY 10112

Some features on this profile are disabled

CRD#: 2854975

Professional summary

Robert Newton Bruce, who also goes by Robert N Bruce, is a registered financial professional currently at STRATCAP SECURITIES, LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1997. Robert has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robert N Bruce

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) - BD

Click below to view Robert Newton Bruce's CRS (Customer Relationship Summary).

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

Current

October 27, 2010 - Present

STRATCAP SECURITIES, LLC

Office #1: 30 Rockefeller Plaza, Suite 2050, New York, NY 10112

CRD#: 151152

NEW YORK, NY

Past

April 30, 2007 - October 5, 2010

PACIFIC CORNERSTONE CAPITAL INCORPORATED

CRD#: 40397

IRVINE, CA

Past

August 24, 2005 - December 31, 2005

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

Past

December 11, 2004 - March 21, 2005

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

NEW YORK CITY, NY

Past

February 16, 2001 - December 11, 2004

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

NEWPORT BEACH, CA

Past

January 29, 1999 - November 2, 2000

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

October 20, 1997 - November 10, 1998

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 15, 1997 - September 18, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/27/2010)

Exams

State Security Law Exam

Series 63

Date: 4/8/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/5/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/27/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STRATCAP SECURITIES, LLC

SC DISTRIBUTORS, LLC | STRATCAP SECURITIES, LLC

CRD#: 151152 / SEC#: , 8-68338

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

30 Rockefeller Plaza, Suite 2050, New York, NY 10112

Mailing Address

30 Rockefeller Plaza, Suite 2050, New York, NY 10112

Phone number

(657) 383-9648

Established

Delaware since 03/31/2009

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
STRATCAP, LLC	MEMBER
CONDON, JAMES VALENTINE	CHIEF EXECUTIVE AND CHIEF OPERATING OFFICER	4965433
LAROSE, JENNIFER	CHIEF COMPLIANCE OFFICER	3094139
ROSTVOLD, ERIK KJELL	OPERATIONS MANAGER	4384284
RYAN, KIMBERLY ANN	FINOP	4316310

Disclosures

Regulatory Event

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert N. Bruce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Newton Bruce's CRS (Customer Relationship Summary).

Certified licenses

Experience

PACIFIC CORNERSTONE CAPITAL INCORPORATED

WORLD GROUP SECURITIES, INC.

METLIFE INVESTORS DISTRIBUTION COMPANY

METLIFE INVESTORS DISTRIBUTION COMPANY

EQUITABLE DISTRIBUTORS, LLC

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 4/8/1999

SIE

Date: 10/1/2018

Series 7

Date: 5/5/1997

Series 24

Date: 10/27/2008

FINRA

Current Firm

STRATCAP SECURITIES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STRATCAP SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors