Bruce B. Palen

SOVEREIGN FINANCIAL GROUP

Northville, MI

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CRD#: 1023008

Professional summary

Bruce Blase Palen, who also goes by Bruce Bisse Palen, Bruce Blasse Palen, is a registered financial advisor currently at SOVEREIGN FINANCIAL GROUP, INC. located in Northville, Michigan.

Bruce is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Bruce has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bruce Bisse Palen | Bruce Blasse Palen

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.

1) Great Lakes Wealth LLC. Investment related. 22260 Haggerty Rd #160, Northville, MI 48167. Wealth management, wealth advisor. Start 7/2018. 160hrs/mo all during trading hours. Manage Client accounts

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Blase Palen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 2, 2024 - Present

SOVEREIGN FINANCIAL GROUP, INC.

RIA

CRD#: 294314

Northville, MI

Past

August 13, 2018 - December 31, 2023

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Northville, MI

Past

July 21, 2018 - January 2, 2024

GREAT LAKES WEALTH, LLC

RIA

CRD#: 282362

Northville, MI

Past

September 28, 2010 - August 2, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

FARMINGTON HILLS, MI

Past

October 5, 2009 - August 2, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

FARMINGTON HILLS, MI

Past

September 21, 2007 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

LIVONIA, MI

Past

September 25, 1998 - October 4, 2007

A. G. EDWARDS & SONS, INC.

CRD#: 4

NORTHVILLE, MI

Past

May 11, 1998 - September 28, 1998

RONEY & CO.

CRD#: 45091

DETROIT, MI

Past

December 21, 1990 - May 11, 1998

RONEY & CO. L.L.C.

CRD#: 900

DETROIT, MI

Past

September 15, 1989 - December 24, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 24, 1989 - September 15, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

Past

October 21, 1988 - January 18, 1989

INDEPENDENCE ONE BROKERAGE SERVICES, INC.

CRD#: 17529

Past

May 6, 1983 - May 18, 1988

A. G. EDWARDS & SONS, INC.

CRD#: 4

Past

February 2, 1982 - May 5, 1983

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SOVEREIGN FINANCIAL GROUP, INC.

CRD#: 294314 / SEC#: 801-114529

RIA

Registered Investment Advisory firm - (1/31/2019 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Michigan
(1/2/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/26/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/26/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/5/2003

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/18/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/22/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/2/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/25/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

SOVEREIGN FINANCIAL GROUP, INC.

CRD#: 294314 / SEC#: 801-114529

RIA

Registered Investment Advisory firm - (1/31/2019 Approved)

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Contact information

Main Address

35 West Broad Street Suite 100, Stamford, CT 06902

Mailing Address

Phone number

(888) 765-8180

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOVEREIGN FINANCIAL GROUP, INC FIRM BROCHURE (10/31/2025)

Regulatory assets under management

Total Number of Accounts	3,304
AUM (Assets Under Management)	$ 882,702,145

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Bruce B. Palen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Blase Palen's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

GREAT LAKES WEALTH, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

A. G. EDWARDS & SONS, INC.

RONEY & CO.

RONEY & CO. L.L.C.

PRUDENTIAL EQUITY GROUP, LLC

THOMSON MCKINNON SECURITIES INC.

INDEPENDENCE ONE BROKERAGE SERVICES, INC.

A. G. EDWARDS & SONS, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

SOVEREIGN FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/26/2010

Series 63

Date: 2/26/1982

SIE

Date: 10/1/2018

Series 3

Date: 2/5/2003

Series 7

Date: 6/18/1983

Series 6

Date: 1/22/1982

Series 10

Date: 10/2/2002

Series 9

Date: 9/25/2002

Current Firm

SOVEREIGN FINANCIAL GROUP, INC.

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOVEREIGN FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Contact information

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