Bruce D. Shalett
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.
Bruce Daniel Shalett was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1997. Bruce had worked at 5 firms and has passed the Series 63, 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
November 19, 2008 - May 24, 2011
WYNSTON HILL CAPITAL, LLC
October 21, 2005 - August 7, 2006
ARJENT LTD.
December 1, 2004 - December 12, 2007
MCBARRON CAPITAL LLC
October 20, 2000 - January 15, 2003
S.W. BACH & COMPANY
September 18, 1998 - October 11, 1999
S.W. BACH & COMPANY
May 14, 1997 - September 8, 1998
GREENWICH HIGH YIELD LLC
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
WYNSTON HILL CAPITAL, LLC
CRD#: 103811 / SEC#: , 8-52299
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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