Bruce H. Slater
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 Howard Slater, who also goes by Bruce H Slater, Bruce Howard Slater, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1980. Bruce had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 23, Series 53 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2022 - November 28, 2022
PRAXIA FINANCIAL SERVICES, LLC
July 27, 2018 - March 16, 2020
JOSEPH GUNNAR & CO. LLC
March 5, 2018 - March 16, 2020
JOSEPH GUNNAR & CO. LLC
July 12, 2017 - December 19, 2017
WOODBURY FINANCIAL SERVICES, INC.
February 18, 2015 - August 7, 2015
GILFORD SECURITIES INCORPORATED
January 25, 2012 - January 28, 2015
DOMINICK & DICKERMAN LLC
December 9, 2008 - March 23, 2010
CITIZENS SECURITIES, INC.
July 27, 2004 - November 12, 2007
J.P. MORGAN SECURITIES LLC
November 3, 2000 - March 4, 2004
CREDIT SUISSE SECURITIES (USA) LLC
April 12, 1990 - January 17, 2003
PERSHING LLC
June 13, 1989 - October 14, 1989
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
August 1, 1983 - October 14, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
October 29, 1980 - January 19, 1987
E. F. HUTTON & COMPANY INC
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 8
Date: 2/4/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PRAXIA FINANCIAL SERVICES, LLC
CRD#: 175415 / SEC#: 801-123322
Contact information
Regulatory assets under management
| Total Number of Accounts | 39 |
| AUM (Assets Under Management) | $ 58,344,622 |
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.
