Bronson Plocus
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.
Bronson Plocus was a registered financial professional .
Bronson is a previously registered financial professional and started their career in finance in 2003. Bronson had worked at 6 firms and has passed the Series 63, Series 55, Series 7, Series 24 and Series 4 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, 2012 - July 18, 2013
WEEDEN & CO.L.P.
December 9, 2010 - February 29, 2012
COMMERZ MARKETS LLC
July 6, 2007 - May 28, 2009
COMMERZ MARKETS LLC
January 25, 2007 - June 29, 2007
AGS SPECIALISTS II, LLC
August 2, 2005 - February 7, 2007
AGS SPECIALISTS LLC
July 26, 2004 - September 26, 2005
CAPSTONE TRADING L.L.C.
September 23, 2003 - June 7, 2004
MAKO GLOBAL DERIVATIVES 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 55
Date: 7/12/2007
Limited Representative-Equity Trader ExamCurrent Firm
WEEDEN & CO.L.P.
CRD#: 16835 / SEC#: 801-57163, 8-37267
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER JAFFRAY COMPANIES | 100% OWNER | |
| MCCAGUE, ANNCHARLOTTE | CHIEF COMPLIANCE OFFICER | 1108448 |
Disclosures
| Regulatory Event | 13 |
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.
