Bruce A. Hauptman
Professional summary
Bruce Arthur Hauptman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bruce is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, Bruce had worked at 6 firms, which includes ADLER COLEMAN & CO. INC., MEYERS POLLOCK ROBBINS INC., PROFESSIONAL BROKERAGE SERVICES INC., BUTCHER & SINGER INC., PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 1992 - July 5, 1994
ADLER COLEMAN & CO., INC.
October 7, 1987 - July 8, 1991
MEYERS POLLOCK ROBBINS, INC.
December 14, 1984 - October 2, 1987
PROFESSIONAL BROKERAGE SERVICES INC.
June 3, 1981 - November 5, 1984
BUTCHER & SINGER INC.
November 7, 1979 - December 23, 1983
PRUDENTIAL EQUITY GROUP, LLC
July 22, 1976 - November 28, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ADLER COLEMAN & CO., INC.
CRD#: 16104 / SEC#: , 8-33064
Contact information
Documents
Red Flags
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