Ben H. Bruner
Professional summary
Ben Hilton Bruner was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ben is a previously registered financial advisor and started their career in finance in 2012. Prior to being barred, Ben had worked at 4 firms, which includes SUMMIT BROKERAGE SERVICES INC., SUMMIT FINANCIAL GROUP INC, WELLS FARGO CLEARING SERVICES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2014 - December 26, 2014
SUMMIT BROKERAGE SERVICES, INC.
November 6, 2014 - December 26, 2014
SUMMIT FINANCIAL GROUP INC
July 10, 2013 - November 25, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 10, 2013 - November 25, 2013
WELLS FARGO CLEARING SERVICES, LLC
March 30, 2012 - January 9, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 7, 2012 - January 9, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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