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CB

Cole T. Bruce

R.J. O'BRIEN SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 7669353
CB

Professional summary

Cole Thoreson Bruce, who also goes by Cole Bruce, is a registered financial professional currently at R.J. O'BRIEN SECURITIES, LLC located in Chicago, Illinois.

Cole is registered as a RR (Registered Representative) and started their career in finance in 2023. Cole has worked at 2 firms and has passed the Series 63, Series 7TO, Series 3 and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cole Bruce

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cole Thoreson Bruce's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 7, 2024 - Present

R.J. O'BRIEN SECURITIES, LLC

Office #1: 222 South Riverside Plaza, Suite 1200, Chicago, IL 60606
BD
CRD#: 143624
Chicago, IL
Past

July 31, 2023 - May 21, 2024

HARBOR FUNDS DISTRIBUTORS, INC.

BD
CRD#: 113506
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/21/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/31/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 6/17/2022
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 11/19/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

RO
R.J. O'BRIEN SECURITIES, LLC
R.J. O'BRIEN SECURITIES, INC. | R.J. O'BRIEN SECURITIES, LLC

CRD#: 143624 / SEC#: , 8-67587

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
222 South Riverside Plaza, Suite 1200, Chicago, IL 60606
Mailing Address
222 South Riverside Plaza Suite 1200, Chicago, IL 60606
Phone number
(312) 373-5000
Established
Delaware since 06/28/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JVMC HOLDINGS CORPSHAREHOLDER
CHO, DAIHEEFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER7424437
GABRIELE, JAMES ANDREWLLC BOARD OF MANAGERS2694460
RUCCI, HEATHERLLC BOARD OF MANAGERS5474878
SZEKELY, GIGICHIEF COMPLIANCE OFFICER2530826

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.

Company Information

R.J. O'BRIEN SECURITIES, LLC

CRD#: 143624Chicago, IL 60606

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