Bruce D. Gatschet
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 Douglas Gatschet was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1977. Bruce had worked at 14 firms and has passed the SIE, Series 7 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
October 20, 2017 - June 4, 2018
SECURITIES AMERICA, INC.
January 7, 2013 - October 26, 2017
NATIONAL PLANNING CORPORATION
September 8, 2009 - January 28, 2013
LPL FINANCIAL LLC
September 8, 2009 - January 28, 2013
LPL FINANCIAL LLC
November 24, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
November 21, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
December 12, 2006 - November 25, 2008
FSC SECURITIES CORPORATION
July 9, 1992 - December 31, 2006
SMITH & GATSCHET FINANCIAL GROUP
June 1, 1992 - November 25, 2008
FSC SECURITIES CORPORATION
April 20, 1992 - June 1, 1992
MARKETING ONE SECURITIES, INC.
July 18, 1990 - March 4, 1992
A. G. EDWARDS & SONS, INC.
November 6, 1989 - November 14, 1989
ASB FINANCIAL SERVICES
July 18, 1986 - August 8, 1990
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1980 - July 31, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 1977 - July 17, 1980
AMERICAN EXPRESS FINANCIAL CORPORATION
March 15, 1977 - July 17, 1980
AMERIPRISE FINANCIAL SERVICES, LLC
March 15, 1977 - July 17, 1980
IDS 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: 3/10/1977
Registered Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
