Bruce R. Stickle
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 Reynolds Stickle was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1977. Bruce had worked at 5 firms and has passed the Series 63, Series 7, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2009 - May 10, 2011
MISCHLER FINANCIAL GROUP, INC.
April 13, 1983 - April 14, 1998
B. R. STICKLE & CO.
February 11, 1980 - February 22, 1983
BURTON J. VINCENT, CHESLEY & CO.
August 2, 1979 - February 25, 1980
CREDIT SUISSE SECURITIES (USA) LLC
October 3, 1977 - August 27, 1979
CITIGROUP GLOBAL MARKETS INC.
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 28
Date: 5/22/1992
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MISCHLER FINANCIAL GROUP, INC.
CRD#: 37818 / SEC#: , 8-48067
Contact information
FINRA licenses (49 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
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.
