Bruce P. Lebens
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 Potter Lebens was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1991. Bruce had worked at 7 firms and has passed the Series 63, SIE, Series 3 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
November 7, 2014 - March 28, 2015
LAKE CHAMPLAIN BROKERAGE SERVICES LLC
October 1, 2010 - November 27, 2012
CARR SECURITIES CORPORATION
January 14, 2009 - November 17, 2009
CARR SECURITIES CORPORATION
December 12, 2005 - January 16, 2007
CHATSWORTH SECURITIES LLC
January 3, 2003 - January 6, 2004
CARR SECURITIES CORPORATION
March 24, 1998 - October 28, 2002
DIRKS & COMPANY, INC.
January 30, 1996 - February 9, 1996
BREAN MURRAY & CO., INC.
July 31, 1993 - September 20, 1994
CITIGROUP GLOBAL MARKETS INC.
May 1, 1991 - July 31, 1993
LEHMAN BROTHERS 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
Current Firm
LAKE CHAMPLAIN BROKERAGE SERVICES LLC
CRD#: 155962 / SEC#: , 8-68757
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHAMPLAIN BROKERS SERVICES HOLDINGS LIMITED | OWNER | |
| MCCLEAN, DAVID EDWARD | FINOP, CCO, MANAGING PRINCIPAL | 1211045 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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