Bruce Elliot Zucker
Professional Summary
Bruce Elliot Zucker was a registered financial advisor. Bruce was a previously registered financial professional and started their career in finance 1973 - 2007. Bruce had worked at 13 firms and has passed the Series 63, Series 55, Series 1, Series 12, Series 53, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
53 years in the financial services industry
Current & Past Employments
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Current Firm
BRAZOS SECURITIES, INC. | SOUTHERN VENTURES EQUITIES, INC.
Contact Information
Main Address
14800 Quorum Drive Suite 410, Dallas, TX 75254Established
Texas since 10/22/1987Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SIMS, BILLY FLOYD JR | PRESIDENT, SECRETARY ,SOLE SHAREHOLDER, FINOP, CCO AND GENERAL SECURITIES PRINCIPAL | 1548924 |
Disclosures
Regulatory Event
1Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Feb 2005Series 1 — Registered Representative Examination
Passed Apr 1973Series 12 — NYSE Branch Manager Examination
Passed Jan 1995Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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