Bruce D. Yeutter
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 Dee Yeutter was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1970. Bruce had worked at 15 firms and has passed the Series 63, Series 55, Series 000, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2006 - April 14, 2009
CAROLINA CAPITAL MARKETS, INC.
May 14, 2002 - October 9, 2006
R. SEELAUS & CO., LLC
January 30, 1998 - May 14, 2002
J. B. HANAUER & CO.
May 19, 1995 - March 3, 1998
RODMAN & RENSHAW INC.
April 24, 1992 - February 27, 1995
YAMAICHI INTERNATIONAL (AMERICA) INC.
January 29, 1992 - April 27, 1992
LIT AMERICA, INC.
October 3, 1984 - November 21, 1990
ALEX. BROWN & SONS INCORPORATED
July 27, 1984 - October 8, 1984
MABON, NUGENT & CO.
July 9, 1984 - August 14, 1984
PRUDENTIAL EQUITY GROUP, LLC
February 19, 1980 - March 2, 1980
SBC WARBURG DILLON READ INC.
January 31, 1980 - December 10, 1983
UBS FINANCIAL SERVICES INC.
January 8, 1980 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
February 10, 1976 - September 26, 1979
CITIGROUP GLOBAL MARKETS INC.
July 31, 1973 - January 31, 1976
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 22, 1970 - August 27, 1973
F S SMITHERS & 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
Exams
Series 55
Date: 6/1/2000
Limited Representative-Equity Trader ExamSeries 000
Date: 7/16/1970
General Securities Principal ExaminationSeries 1
Date: 7/16/1970
Registered Representative ExaminationSeries 00
Date: 10/26/1972
General Securities Principal ExaminationCurrent Firm
CAROLINA CAPITAL MARKETS, INC.
CRD#: 38156 / SEC#: , 8-48095
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
