Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bruce? Claim Your ProfileBruce Silverman is a registered representative with Roth Capital Partners, LLC based in Newport Beach, CA. Bruce has over 20 years of experience in the financial services industry. Prior to joining Roth Capital Partners, LLC, Bruce was a registered representative with WESTPARK CAPITAL, INC. in Irvine, CA. Bruce has passed a number of industry exams including Series 4, 53, 24, 57TO, 52TO, SIE, 55, and 7. Bruce is registered to conduct business in California.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
(1) distribution of sell-side research reports/corporate access (2) solicitor
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
1
2
CA
05/08/2017 - Present
Roth Capital Partners, LLC (NEWPORT BEACH CA)
CA
08/02/2016 - 06/20/2017
WESTPARK CAPITAL, INC. (Irvine CA)
CA
12/01/2010 - 08/02/2016
NEWPORT COAST SECURITIES, INC. (IRVINE CA)
NY
08/14/2007 - 09/15/2010
JOSEPH GUNNAR & CO. LLC (NEW YORK NY)
NY
08/10/2006 - 06/15/2007
CAPITAL GROWTH FINANCIAL, LLC (NEW YORK NY)
NY
09/22/1998 - 08/15/2006
AM CAPITAL LLC (NEW YORK NY)
CA
01/01/1996 - 12/12/1996
BARABAN SECURITIES, INC. (LOS ANGELES CA)
BC
Issued 01/15/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/27/2016
Series 4 - Registered Options Principal Examination
BC
Issued 03/30/2010
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/11/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/28/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
Nasdaq Stock Market
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