Bruce C. Stoltenberg

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CRD#: 1064851

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 Carl Stoltenberg was a registered financial professional .

Bruce is a previously registered financial professional and started their career in finance in 1982. Bruce had worked at 4 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

December 1, 1994 - February 27, 2017

SOUNDVIEW ADVISORS

RIA

CRD#: 114437

OLYMPIA, WA

Past

March 5, 1993 - September 24, 1993

KEY INVESTMENTS INC.

CRD#: 15873

Past

July 12, 1983 - October 1, 1986

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Past

September 24, 1982 - July 19, 1983

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

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".

SOUNDVIEW ADVISORS

CRD#: 114437 / SEC#: 801-68960

RIA

Registered Investment Advisory firm - (3/24/2008 Approved)

Washington

Registered Investment Advisory firm - (3/28/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Series 63

Date: 3/4/1993

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/11/1992

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 3/2/1993

General Securities Representative Examination

Current Firm

SOUNDVIEW ADVISORS

CRD#: 114437 / SEC#: 801-68960

RIA

Registered Investment Advisory firm - (3/24/2008 Approved)

Washington

Registered Investment Advisory firm - (3/28/2008 Terminated)

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Contact information

Main Address

1441 West Bay Drive Suite 201, Olympia, WA 98502

Mailing Address

Phone number

(360) 867-9890

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 ADV PART 2-REVISED (9/15/2025)

Regulatory assets under management

Total Number of Accounts	1,084
AUM (Assets Under Management)	$ 408,102,245

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.

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Bruce C. Stoltenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SOUNDVIEW ADVISORS

KEY INVESTMENTS INC.

CETERA WEALTH SERVICES, LLC

SOUTHMARK FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

SOUNDVIEW ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 3/4/1993

Series 65

Date: 2/11/1992

Series 7

Date: 3/2/1993

Current Firm

SOUNDVIEW ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOUNDVIEW ADVISORS

TRUST BUT VERIFY

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