Bruce D. Workman
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 Dudley Workman was a registered financial advisor .
Bruce is a previously registered financial advisor and started their career in finance in 1977. Bruce had worked at 17 firms and has passed the Series 66, Series 63, Series 7, Series 1 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
October 20, 2010 - January 26, 2011
CAPITOL SECURITIES MANAGEMENT, INC.
August 24, 2010 - January 26, 2011
CAPITOL SECURITIES & ASSOCIATES, INC.
December 18, 2008 - August 10, 2010
WFG INVESTMENTS, INC.
December 17, 2008 - August 10, 2010
WFG ADVISORS, LP
December 1, 2006 - December 18, 2008
EPLANNING ADVISORS INC
December 1, 2006 - December 18, 2008
EPLANNING SECURITIES, INC.
September 14, 2004 - December 1, 2006
WALL STREET FINANCIAL GROUP, INC.
June 30, 2004 - December 1, 2006
WALL STREET FINANCIAL GROUP, INC.
July 2, 1993 - June 30, 2004
WORKMAN SECURITIES CORPORATION
July 30, 1991 - July 7, 1993
MARINER FINANCIAL SERVICES, INC.
March 6, 1990 - July 30, 1991
SUNAMERICA SECURITIES, INC.
November 19, 1989 - March 14, 1990
OSAIC WEALTH, INC.
February 16, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 31, 1986 - March 1, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
August 9, 1985 - January 31, 1986
AAM SECURITIES, INC.
December 8, 1977 - August 15, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
December 8, 1977 - August 15, 1985
IDS LIFE INSURANCE COMPANY
December 8, 1977 - August 15, 1985
AMERICAN EXPRESS FINANCIAL CORPORATION
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
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: 12/1/1977
Registered Representative ExaminationCurrent Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| 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.
