Bruce I. Raben
Professional summary
Bruce Ira Raben is a registered financial professional currently at HUDSON CAPITAL ADVISORS BD LLC located in Santa Monica, California.
Bruce is registered as a RR (Registered Representative) and started their career in finance in 1980. Bruce has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Bruce Ira Raben's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 2, 2005 - Present
HUDSON CAPITAL ADVISORS BD LLC
Office #1: 100 Wilshire Boulevard, Suite 250, Santa Monica, CA 90401November 3, 1997 - November 12, 2002
CIBC WORLD MARKETS CORP.
April 11, 1996 - November 3, 1997
CIBC WOOD GUNDY SECURITIES CORP.
April 20, 1990 - February 5, 1996
JEFFERIES LLC
February 22, 1980 - March 13, 1990
DREXEL BURNHAM LAMBERT 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
(2/3/2009)
(5/27/2011)
(6/17/2011)
(4/21/2021)
(5/19/2016)
(2/6/2009)
(8/27/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
HUDSON CAPITAL ADVISORS BD LLC
CRD#: 132424 / SEC#: , 8-66595
Contact information
FINRA licenses (9 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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