Stephen L. Brune
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.
Stephen Lloyd Brune was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2002. Stephen had worked at 4 firms and has passed the Series 63, Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2013 - October 21, 2013
CLARK DODGE & CO., INC.
May 24, 2006 - August 27, 2007
OTR GLOBAL TRADING LLC
October 6, 2003 - August 27, 2007
OTR GLOBAL LLC
August 7, 2002 - August 27, 2007
OTA 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
Current Firm
CLARK DODGE & CO., INC.
CRD#: 23288 / SEC#: , 8-40292
Contact information
Disclosures
| Regulatory Event | 4 |
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.
