D M. Bruce
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.
D Max Bruce, AIF®, who also goes by D. Max Bruce, Delbert Max Bruce, Max Bruce, was a registered financial professional .
D is a previously registered financial professional and started their career in finance in 1983. D had worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 22, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2017 - December 31, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 15, 2017 - December 31, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 26, 2004 - September 20, 2017
NATIONAL PLANNING CORPORATION
March 26, 2004 - September 20, 2017
NATIONAL PLANNING CORPORATION
January 17, 2003 - December 4, 2009
INTEGRATED WEALTH ADVISORS, INC.
December 15, 1999 - March 29, 2004
LEGACY ADVISORY SERVICES, INC.
June 11, 1999 - March 26, 2004
LEGACY FINANCIAL SERVICES, INC.
January 2, 1998 - June 11, 1999
CADARET, GRANT & CO., INC.
September 5, 1995 - January 2, 1998
PINEBRIDGE SECURITIES LLC
November 8, 1993 - September 5, 1995
CUNA BROKERAGE SERVICES, INC.
May 19, 1987 - October 29, 1993
CENTURY INVESTORS OF AMERICA, INC.
January 14, 1987 - May 20, 1987
COOPER MALONE MCCLAIN, INC.
March 9, 1983 - January 15, 1987
HORNOR, TOWNSEND & KENT, LLC
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
