Bruce D. Vandegrift
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 D Vandegrift, who also goes by Bruce Douglas Vandegrift, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 2000. Bruce had worked at 6 firms and has passed the Series 66, Series 7, Series 10, Series 9 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
November 5, 2010 - June 26, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
November 4, 2010 - June 26, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
October 19, 2007 - September 30, 2010
AMCORE INVESTMENT SERVICES, INC
September 27, 2006 - December 7, 2006
J.P. MORGAN SECURITIES INC.
July 1, 2006 - December 7, 2006
J.P. MORGAN SECURITIES INC.
July 30, 2003 - September 27, 2006
BANC ONE SECURITIES CORPORATION
July 30, 2003 - July 1, 2006
BANC ONE SECURITIES CORPORATION
November 14, 2000 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
November 14, 2000 - June 4, 2003
NATCITY INVESTMENTS, 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
Current Firm
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
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.
