Bruce Galloway
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 Galloway, who also goes by Bruce Robert Galloway, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1981. Bruce had worked at 7 firms and has passed the Series 63 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
February 11, 2013 - January 31, 2014
WTS PROPRIETARY TRADING GROUP LLC
August 31, 2005 - October 15, 2012
ARCADIA SECURITIES, LLC
November 15, 1993 - August 24, 2005
BURNHAM SECURITIES INC.
March 4, 1991 - November 10, 1993
CIBC WORLD MARKETS CORP.
August 1, 1988 - March 6, 1991
RAUSCHER PIERCE REFSNES, INC.
April 10, 1984 - July 26, 1988
MORGAN KEEGAN & COMPANY, LLC
May 18, 1981 - April 2, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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