Robert N. Bruce
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.
Robert Newton Bruce, who also goes by Robert N Bruce, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1997. Robert had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2010 - March 2, 2026
STRATCAP SECURITIES, LLC
April 30, 2007 - October 5, 2010
PACIFIC CORNERSTONE CAPITAL INCORPORATED
August 24, 2005 - December 31, 2005
WORLD GROUP SECURITIES, INC.
December 11, 2004 - March 21, 2005
METLIFE INVESTORS DISTRIBUTION COMPANY
February 16, 2001 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
January 29, 1999 - November 2, 2000
EQUITABLE DISTRIBUTORS, LLC
October 20, 1997 - November 10, 1998
UBS FINANCIAL SERVICES INC.
May 15, 1997 - September 18, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STRATCAP SECURITIES, LLC
CRD#: 151152 / SEC#: , 8-68338
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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