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BJ

Bruce E. Johnson

Some features on this profile are disabled
CRD#: 853680
BJ

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 Edward Johnson was a registered financial professional .

Bruce is a previously registered financial professional and started their career in finance in 1978. Bruce had worked at 17 firms and has passed the Series 63, SIE, Series 7 and Series 53 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 1, 2012 - April 5, 2021

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
CHICAGO, IL
Past

September 24, 2009 - June 1, 2012

CHAPDELAINE TULLETT PREBON, LLC

BD
CRD#: 7017
NEW YORK, NY
Past

April 17, 2008 - February 6, 2009

NYLIFE SECURITIES LLC

BD
CRD#: 5167
DEERFIELD, IL
Past

March 28, 2005 - February 16, 2006

VINING-SPARKS IBG, LLC

BD
CRD#: 27502
CHICAGO, IL
Past

March 28, 2005 - February 16, 2006

ICBA SECURITIES

BD
CRD#: 24088
CHICAGO, IL
Past

March 15, 2004 - April 4, 2005

HOWE BARNES HOEFER & ARNETT, INC.

BD
CRD#: 2240
CHICAGO, IL
Past

March 16, 2001 - February 18, 2004

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

October 2, 2000 - February 1, 2001

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

July 12, 1996 - October 3, 2000

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

June 20, 1996 - July 12, 1996

ABN AMRO INCORPORATED

BD
CRD#: 15776
Past

December 4, 1995 - July 12, 1996

RODMAN & RENSHAW INC.

BD
CRD#: 724
CHICAGO, IL
Past

April 14, 1993 - May 24, 1994

FITZGERALD, DAVIS & ASSOCIATES, L.P.

BD
CRD#: 31027
CHICAGO, IL
Past

August 4, 1989 - April 14, 1993

MESIROW FINANCIAL, INC.

BD
CRD#: 2764
CHICAGO, IL
Past

October 29, 1985 - August 7, 1989

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

April 18, 1984 - May 14, 1985

BLUNT ELLIS & LOEWI INCORPORATED

BD
CRD#: 7580
Past

May 14, 1981 - March 28, 1984

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

June 20, 1979 - June 30, 1980

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
Past

June 23, 1978 - June 24, 1979

BLYTH EASTMAN DILLON & CO. INCORPORATED

BD
CRD#: 6361

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/23/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/17/1978
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/24/1986
Municipal Securities Principal Examination

Current Firm

TP
TULLETT PREBON FINANCIAL SERVICES LLC
COWEN GOVERNMENT BROKERS, L.P. | TULLETT PREBON FINANCIAL SERVICES LLC | TULLETT LIBERTY SECURITIES LLC | TULLETT LIBERTY SECURITIES INC. | TULLETT & TOKYO LIBERTY SECURITIES INC. | PATRIOT SECURITIES, L.P. | PATRIOT SECURITIES, INC. | LIBERTY PATRIOT SECURITIES INC. | LIBERTY BROKERAGE SECURITIES INC.

CRD#: 28196 / SEC#: , 8-43487

BD
Terminated by SEC on 09/09/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/30/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TP ICAP AMERICAS HOLDINGS INC.100% OWNER
BERNARDO, SHAWN FRANCISCEO2513376
DESIMONE, LISA MARIECHIEF COMPLIANCE OFFICER2691368
GOULET, STEPHEN PAULSENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY4769810
PEZEU, CHRISTIAN JEAN MICHELPRINCIPAL FINANCIAL OFFICER5661987

Disclosures

Regulatory Event17

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

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

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