John J. Bruno
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.
John Joseph Bruno was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 000, Series 1, Series 12, Series 4 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 14, 1998 - May 10, 2021
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
December 5, 1989 - May 10, 2021
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
August 15, 1985 - December 31, 1989
SPRINGER INVESTMENT & SECURITIES CO., INC.
January 26, 1981 - August 23, 1985
AMERIPRISE ADVISOR SERVICES, INC.
November 9, 1977 - August 12, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 5, 1974 - April 22, 1976
J.J.B. HILLIARD, W.L. LYONS, LLC
June 22, 1970 - December 9, 1974
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 000
Date: 4/5/1968
General Securities Principal ExaminationSeries 1
Date: 4/5/1968
Registered Representative ExaminationSeries 12
Date: 4/16/1983
NYSE Branch Manager ExaminationCurrent Firm
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
CRD#: 8478 / SEC#: 801-63564, 8-25452
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINANCIAL SERVICES HOLDINGS, LLC | SOLE SHAREHOLDER | |
| COKER, KAREN LE'ELLEN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PARKER, RICHARD WILSON | CEO | 5497397 |
| REYNOLDS, MATTHEW MARK | PRESIDENT / FINOP / PFO / POO/CCO | 4077413 |
| RUDNICK, REGINA MARY | HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
| TITAK, JAMES JOHN | CHAIRMAN OF THE BOARD | 1008441 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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