Nicole L. Brucker
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.
Nicole Le Anna Brucker, who also goes by Nicole Le Anna Bergman, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2007. Nicole had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2015 - June 8, 2015
IMST DISTRIBUTORS, LLC
March 11, 2013 - November 5, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 8, 2009 - March 14, 2011
LPL FINANCIAL LLC
September 8, 2009 - March 14, 2011
LPL FINANCIAL LLC
August 1, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
August 1, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
May 29, 2008 - December 31, 2010
THE SAPIENT SOLUTIONS ADVISORS, LLC
February 22, 2008 - August 6, 2008
LPL FINANCIAL LLC
April 10, 2007 - August 6, 2008
LPL FINANCIAL 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
IMST DISTRIBUTORS, LLC
CRD#: 130745 / SEC#: , 8-66389
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
