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BT

Bruce E. Tolbert

SAXONY SECURITIES
TRAVERSE CITY, MI 49684
Some features on this profile are disabled
CRD#: 833765
BT

Professional summary

Bruce Edward Tolbert is a registered financial professional currently at SAXONY SECURITIES, INC. located in Traverse City, Michigan.

Bruce is registered as a RR (Registered Representative) and started their career in finance in 1977. Bruce has worked at 10 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Bruce Edward Tolbert'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

August 23, 2004 - Present

SAXONY SECURITIES, INC.

Office #1: 236 1/2 East Front St, Traverse City, MI 49684
BD
CRD#: 115547
TRAVERSE CITY, MI
Past

July 1, 2003 - July 22, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 17, 1991 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

February 14, 1989 - July 10, 1991

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

June 13, 1984 - February 11, 1989

JEFFERIES LLC

BD
CRD#: 2347
Past

June 22, 1982 - June 6, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

BD
CRD#: 7555
Past

February 8, 1982 - October 19, 1983

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
Past

June 21, 1978 - January 28, 1982

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

June 15, 1977 - May 16, 1978

WHITE, WELD & CO. INCORPORATED

BD
CRD#: 6802
Past

March 1, 1977 - July 24, 1977

SHEARSON HAYDEN STONE INC.

BD
CRD#: 7295

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Michigan
(2/14/2005)
RR
New Jersey
(11/2/2011)
RR
New York
(8/23/2004)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/12/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/9/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 5
Date: 10/22/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1977
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SAXONY SECURITIES, INC.
SAXONY ADVISORS | SAXONY SECURITIES, INC. | SAXONY SECURITIES

CRD#: 115547 / SEC#: , 8-53490

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

Main Address
11152 S Towne Square, St. Louis, MO 63123
Mailing Address
11152 S Towne Square, St. Louis, MO 63123
Phone number
(314) 963-9336
Established
Missouri since 07/13/2001
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (52 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#
SAXONY HOLDINGS, INC.SHAREHOLDER
KLUMP, RYAN CHRISTOPHERPRESIDENT4762698
MATARAZZI, NATHAN DOMENICOFINOP, PFO AND POO4827090
PALOS, KURT ROBERTCHIEF EXECUTIVE OFFICER6063745
PFEIFFER, STEPHANIE ANNCCO2278515

Disclosures

Regulatory Event2
Arbitration1

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

SAXONY SECURITIES, INC.

CRD#: 115547Traverse City, MI 49684

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