Bruce E. Zucker
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 Elliot Zucker was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1973. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2006 - July 27, 2007
BRAZOS SECURITIES, INC.
April 11, 2005 - August 25, 2005
MARK SECURITIES, INC.
January 6, 2003 - December 31, 2003
RUSHMORE SECURITIES CORPORATION
January 6, 2003 - July 31, 2006
MCCLENDON, MORRISON & PARTNERS, INC.
September 23, 2002 - December 31, 2002
MOMENTUM INDEPENDENT NETWORK INC.
December 22, 2000 - August 27, 2002
HILLTOP SECURITIES INC.
March 19, 1997 - August 28, 2002
MYDISCOUNTBROKER.COM
August 2, 1996 - March 24, 1997
MOMENTUM INDEPENDENT NETWORK INC.
July 5, 1994 - September 17, 1996
HILLTOP SECURITIES INC.
November 5, 1982 - July 5, 1994
PROSPERA FINANCIAL SERVICES, INC.
September 16, 1977 - January 3, 1985
PRUDENTIAL EQUITY GROUP, LLC
August 10, 1977 - February 6, 1984
SNIDER-LUND SECURITIES, INC.
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
April 12, 1973 - February 27, 1976
BACHE & CO., INCORPORATED
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: 2/14/2005
Limited Representative-Equity Trader ExamSeries 1
Date: 4/9/1973
Registered Representative ExaminationSeries 12
Date: 1/17/1995
NYSE Branch Manager ExaminationCurrent Firm
BRAZOS SECURITIES, INC.
CRD#: 21624 / SEC#: , 8-39119
Contact information
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 | 1 |
Red Flags
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