Bruce E. Neff
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 Edward Neff was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1973. Bruce had worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 27, Series 12, Series 24, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 1988 - October 8, 2024
BANYAN SECURITIES, LLC
May 19, 1978 - August 23, 1988
KIDDER, PEABODY & CO. INCORPORATED
January 3, 1973 - May 19, 1978
H.O. PEET & CO., INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/17/2000
Limited Representative-Equity Trader ExamSeries 12
Date: 3/21/1981
NYSE Branch Manager ExaminationF04
Date: 12/22/1972
Financial Principal ExaminationSeries 00
Date: 11/17/1972
General Securities Principal ExaminationCurrent Firm
BANYAN SECURITIES, LLC
CRD#: 22395 / SEC#: , 8-39716
Contact information
FINRA licenses (12 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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