Bruce A. Sanders
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 Allen Sanders was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1998. Bruce had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2015 - June 8, 2020
WADDELL & REED
June 18, 2015 - June 8, 2020
WADDELL & REED
April 29, 2009 - June 10, 2015
COMMONWEALTH FINANCIAL NETWORK
April 27, 2009 - June 10, 2015
COMMONWEALTH FINANCIAL NETWORK
October 18, 2007 - February 13, 2009
DOMINICK & DICKERMAN LLC
October 8, 2007 - February 13, 2009
DOMINICK & DICKERMAN LLC
April 2, 2007 - September 20, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - September 20, 2007
MORGAN STANLEY & CO. LLC
November 14, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
April 19, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
January 2, 2002 - April 26, 2002
CITIGROUP GLOBAL MARKETS INC.
December 2, 1998 - January 2, 2002
THE ROBINSON-HUMPHREY COMPANY, 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
Series 7TO
Date: 12/3/2022
General Securities Representative ExaminationCurrent Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
