Bruce W. Anderson
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 William Anderson was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1976. Bruce had worked at 4 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 1993 - November 8, 1994
WS GRIFFITH SECURITIES, INC.
September 18, 1985 - August 30, 1993
VP DISTRIBUTORS LLC
February 5, 1982 - April 10, 1984
LINCOLN NATIONAL PENSION INSURANCE COMPANY
November 24, 1976 - April 10, 1984
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
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 1
Date: 11/20/1976
Registered Representative ExaminationCurrent Firm
WS GRIFFITH SECURITIES, INC.
CRD#: 10410 / SEC#: , 8-27324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WS GRIFFITH ADVISORS, INC. | PARENT COMPANY | |
| BEAGIN, JOSEPH GARY | SENIOR VICE PRESIDENT | 15544 |
| BEERS, JOHN HENRY | SECRETARY, VICE PRESIDENT | |
| DAHL, RICHARD STEWART | VICE PRESIDENT, OPERATIONS | 1080878 |
| ENGBERG, NANCY JEAN | VP & CHIEF COMPLIANCE OFFICER | 2952960 |
| HAYLON, MICHAEL EDWARD | DIRECTOR | 1884528 |
| KELLEHER, JOSEPH EDWARD | PRESIDENT, DIRECTOR | 4017209 |
| LAUTENSACK, ROBERT GEORGE JR | DIRECTOR | |
| MILLER, LAURA EILEEN | CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT | 1558203 |
| OLSON, VICTORIA LYNN | VP, COMPLIANCE OFFICER | 2360895 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
