Jeffrey B. Bronfman
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.
Jeffrey Barnett Bronfman, who also goes by Jeffrey B Bronfman, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1969. Jeffrey had worked at 5 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 1997 - May 18, 2000
R.D. WHITE & CO., INC.
September 29, 1993 - December 19, 1997
SFI INVESTMENTS, INC.
March 26, 1991 - July 14, 1993
HENNION & WALSH, INC.
July 2, 1976 - February 20, 1991
MUNICIPAL INVESTORS SERVICE, INC.
July 9, 1969 - December 4, 1972
EDWARDS & HANLY
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 1
Date: 7/7/1969
Registered Representative ExaminationCurrent Firm
R.D. WHITE & CO., INC.
CRD#: 7011 / SEC#: , 8-38788
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 4 |
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.
