Jonathan M. Bruno
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.
Jonathan Marshal Bruno, who also goes by Jonathan Marshall Bruno, Todd Bruno, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1977. Jonathan had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2017 - March 16, 2018
WAYPOINT DIRECT INVESTMENTS, LLC
June 16, 1994 - October 20, 2015
NATWEST MARKETS SECURITIES INC.
April 9, 1990 - April 21, 1994
UBS FINANCIAL SERVICES INC.
July 25, 1987 - March 3, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
August 8, 1983 - March 3, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
May 19, 1978 - July 11, 1983
KIDDER, PEABODY & CO. INCORPORATED
October 3, 1977 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
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 5
Date: 10/29/1981
Interest Rate Options ExaminationCurrent Firm
WAYPOINT DIRECT INVESTMENTS, LLC
CRD#: 132475 / SEC#: , 8-66597
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
