Bruce J. Underhill
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 Joseph Underhill was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 2001. Bruce had worked at 12 firms and has passed the Series 66, Series 63, Series 82TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2021 - June 24, 2024
FIDELITY BROKERAGE SERVICES LLC
January 19, 2021 - June 22, 2021
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
November 26, 2020 - June 2, 2021
LAKERIDGE CAPITAL INC.
November 5, 2020 - May 4, 2021
EASTGATE SECURITIES, LLC
May 27, 2020 - January 21, 2021
DALMORE GROUP LLC
October 14, 2019 - May 22, 2020
EASTGATE SECURITIES, LLC
March 14, 2017 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
April 15, 2011 - March 8, 2018
SCOTTRADE, INC.
January 6, 2010 - February 25, 2011
RANCE KING SECURITIES CORP.
February 19, 2009 - January 4, 2010
SCOTTRADE, INC.
December 11, 2007 - April 16, 2008
MLP REAL ESTATE SECURITIES, INC.
March 23, 2007 - December 5, 2007
STEVEN L. FALK & ASSOCIATES INC.
February 13, 2007 - March 6, 2007
BURCH & COMPANY, INC
December 10, 2001 - June 20, 2005
E*TRADE SECURITIES LLC
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 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
