John M. 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 Michael Bruno was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1972. John had worked at 5 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2002 - January 7, 2016
PLANCORP, LLC
May 4, 2001 - December 31, 2005
MOLONEY SECURITIES CO., INC.
October 1, 1998 - June 10, 1999
MERCANTILE INVESTMENT SERVICES, INC.
April 9, 1976 - October 2, 1998
BRUNO, STOLZE & COMPANY, INC.
December 15, 1972 - December 13, 1975
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
PLANCORP, LLC
CRD#: 106599 / SEC#: 801-20398
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: 12/2/1972
Registered Representative ExaminationSeries 40
Date: 1/10/1976
Registered Principal ExaminationCurrent Firm
PLANCORP, LLC
CRD#: 106599 / SEC#: 801-20398
Contact information
SEC notice filing (32 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,711 |
| AUM (Assets Under Management) | $ 7,294,144,052 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/09/2024 | ||
| 12/07/2023 | ||
| 10/27/2022 |
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.
