Bruce R. Paegel
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 Robert Paegel was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 2003. Bruce had worked at 3 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2015 - January 3, 2017
RIDGEWOOD SECURITIES CORPORATION
January 28, 2010 - December 15, 2014
CITIGROUP GLOBAL MARKETS INC.
August 18, 2003 - February 10, 2009
PACIFIC SELECT DISTRIBUTORS, 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
RIDGEWOOD SECURITIES CORPORATION
CRD#: 15453 / SEC#: , 8-34781
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWANSON, ROBERT ERNEST | CHAIRMAN, BOARD OF DIRECTORS | 1332429 |
| STRASBERG, JEFFREY HOWARD | PRESIDENT, CCO AND FINANCIAL AND OPERATIONS PRINCIPAL |
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.
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