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JB

Julie A. Bruno

AMERICAN ELM DISTRIBUTION PARTNERS
Portsmouth, NH 03801
Some features on this profile are disabled
CRD#: 4356275
JB

Professional summary

Julie Ann Bruno, who also goes by Julie Ann Brochu, is a registered financial professional currently at AMERICAN ELM DISTRIBUTION PARTNERS, LLC located in Portsmouth, New Hampshire.

Julie is registered as a RR (Registered Representative) and started their career in finance in 2001. Julie has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Julie Ann Brochu

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
QuestCE This position is not investment related in regards to advice, trades or processing. It will be creating courses for educational purposes. 10100 W Innovation Drive Suite 200 Milwaukee, WI 53226 Freelance Course Writer - Writing continuing education classes 08/23/2021 5-10 hours a month There will be no hours devoted during securities trading hours. I will be researching specific topics that are needed by QuestCE. I will then write courses for the Registered Representatives to take on their education platform.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Julie Ann Bruno's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 20, 2022 - Present

AMERICAN ELM DISTRIBUTION PARTNERS, LLC

Office #1: 155 Fleet Street, Portsmouth, NH 03801
BD
CRD#: 153322
Portsmouth, NH
Past

July 10, 2020 - October 7, 2022

PEOPLE'S UNITED ADVISORS, INC.

RIA
CRD#: 292454
WETHERSFIELD, CT
Past

November 3, 2016 - March 31, 2020

PEOPLE'S SECURITIES, INC.

RIA
CRD#: 13704
WETHERSFIELD, CT
Past

January 13, 2003 - October 7, 2022

PEOPLE'S SECURITIES, INC.

BD
CRD#: 13704
WETHERSFIELD, CT
Past

May 2, 2001 - August 8, 2002

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

May 2, 2001 - August 8, 2002

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(10/20/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/3/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/13/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/12/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/1/2001
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AE
AMERICAN ELM DISTRIBUTION PARTNERS, LLC
AMERICAN ELM DISTRIBUTION PARTNERS, LLC | SQN SECURITIES LLC

CRD#: 153322 / SEC#: , 8-68523

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
155 Fleet Street, Portsmouth, NH 03801
Mailing Address
155 Fleet Street, Portsmouth, NH 03801
Phone number
(603) 766-4924
Established
Delaware since 01/14/2010
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
IDP HOLDINGS, INCMEMBER
GRANITE ISLAND HOLDINGS, LLCMEMBER
MURRAY, JESSICA LEECHIEF COMPLIANCE OFFICER4675076
PONTICELLO, MICHAEL CARLCEO & PRESIDENT4851169
RYAN, KIMBERLY ANNFINOP4316310

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.

Company Information

AMERICAN ELM DISTRIBUTION PARTNERS, LLC

CRD#: 153322Portsmouth, NH 03801

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