Bruce P. Groberg
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 Parnes Groberg, who also goes by Bruce Parnes Groberg, Bruce P Groberg, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1999. Bruce had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2022 - November 29, 2022
W&S BROKERAGE SERVICES, INC.
February 1, 2022 - November 29, 2022
W&S BROKERAGE SERVICES, INC.
November 4, 2008 - November 8, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 8, 2008 - November 8, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 2000 - March 27, 2001
SCHONFELD SECURITIES, LLC
August 12, 1999 - August 26, 1999
MAN INVESTMENTS INC.
Primary Firm SEC Registration
W&S BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
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: 1/31/2022
General Securities Representative ExaminationSeries 55
Date: 5/8/2000
Limited Representative-Equity Trader ExamCurrent Firm
W&S BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
Contact information
SEC notice filing (33 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESTERN AND SOUTHERN LIFE ASSURANCE COMPANY | OWNER | |
| BRODIE, TROY DALE | PRESIDENT | 1924559 |
| DELUCA, JAMES JOSEPH | VP, MARKETING | 5420948 |
| HERRON, SARAH SPARKS | CORPORATE SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | TREASURER | 6607547 |
| LOVELESS, MATTHEW WILLIAM | VP, AGENCY STRATEGY, TRAINING & TALENT ACQUISITION | 5657647 |
| LUEBBE, GREGORY MICHAEL | ASSISTANT VICE PRESIDENT | 2924719 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOURNE, DOUGLAS EDWARD | AVP, BROKERAGE OPERATIONS | 2999021 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE OFFICER | 1327230 |
| WIEDENHEFT, TERRIE ANN | SENIOR VICE PRESIDENT AND CFO | 2619213 |
| WITTMAN, SCOTT JOSEPH | VP TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
Regulatory assets under management
| Total Number of Accounts | 655 |
| AUM (Assets Under Management) | $ 175,814,665 |
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.
