Clyde J. Bruff
Professional summary
Clyde Joseph Bruff was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Clyde is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, Clyde had worked at 13 firms, which includes STRATEGIC ASSETS INC., BUTTONWOOD SECURITIES INC., PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC., PHILIP GRANT MCMICHAEL & COMPANY, ROBERT THOMAS SECURITIES INC, FIRST AFFILIATED SECURITIES INC., FINANCIAL PLANNERS EQUITY CORPORATION, LPL FINANCIAL LLC, MORGAN OLMSTEAD KENNEDY & GARDNER INCORPORATED, LEHMAN BROTHERS INC., PRUDENTIAL EQUITY GROUP LLC, BACHE HALSEY STUART INC., BACHE & CO INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 1996 - September 2, 1997
STRATEGIC ASSETS INC.
April 14, 1994 - December 15, 1995
BUTTONWOOD SECURITIES, INC.
September 18, 1992 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
December 23, 1991 - May 11, 1992
PHILIP GRANT MCMICHAEL & COMPANY
March 17, 1988 - December 11, 1989
ROBERT THOMAS SECURITIES, INC
February 2, 1987 - March 21, 1988
FIRST AFFILIATED SECURITIES, INC.
February 4, 1986 - January 29, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
April 19, 1985 - January 13, 1986
LPL FINANCIAL LLC
June 14, 1982 - February 25, 1985
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
March 29, 1979 - June 24, 1982
LEHMAN BROTHERS INC.
September 16, 1977 - May 5, 1979
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
July 22, 1976 - August 27, 1976
BACHE & CO INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
STRATEGIC ASSETS INC.
CRD#: 37590 / SEC#: , 8-47815
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APPEL, RANDALL STEPHEN | PRESIDENT | |
| APPEL, RANDALL STEPHEN | PRESIDENT | 737169 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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