Bruce W. Whaley
Professional summary
Bruce Warren Whaley, who also goes by Bruce W Whaley, is a registered financial professional currently at WILSON-DAVIS & CO., INC. located in Salt Lake City, Utah.
Bruce is registered as a RR (Registered Representative) and started their career in finance in 1971. Bruce has worked at 8 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 55, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Bruce Warren Whaley's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 16, 1988 - Present
WILSON-DAVIS & CO., INC.
Office #1: 236 South Main, Salt Lake City, UT 84101April 11, 1985 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
June 4, 1984 - April 8, 1985
R. A. JOHNSON AND COMPANY, INC.
June 3, 1982 - May 10, 1984
VENHU SECURITIES INC.
March 10, 1982 - May 3, 1982
BAGLEY SECURITIES, INC.
March 15, 1979 - July 3, 1985
NORTHRIDGE SECURITIES, INC.
November 19, 1973 - September 28, 1983
OLSEN & COMPANY
May 11, 1971 - December 9, 1973
GREGERSEN BOYNTON & 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
(8/7/1998)
(8/16/1988)
(8/16/1988)
(8/23/1988)
(8/25/2009)
(3/27/1989)
(1/13/2014)
(3/2/2001)
(3/15/1989)
(4/3/2024)
(11/28/2000)
(9/22/1988)
(6/4/2004)
(8/23/1988)
(3/22/2005)
(8/17/1988)
(8/18/1988)
(1/13/1997)
(8/17/1988)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/11/1998
Limited Representative-Equity Trader ExamSeries 1
Date: 5/7/1971
Registered Representative ExaminationFINRA
NYSE Arca, Inc.
Nasdaq Stock Market
Current Firm
WILSON-DAVIS & CO., INC.
CRD#: 3777 / SEC#: , 8-14299
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 57 |
| Arbitration | 1 |
Red Flags
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Company Information
WILSON-DAVIS & CO., INC.
CRD#: 3777Salt Lake City, UT 84101TRUST BUT VERIFY
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