Scott R. 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.
Scott Reed Bruce was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1984. Scott had worked at 10 firms and has passed the Series 65, Series 66, Series 63, Series 7, Series 6 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
December 1, 2010 - November 8, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
December 1, 2010 - November 8, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
August 27, 2009 - December 1, 2010
KALOS MANAGEMENT
August 25, 2009 - December 1, 2010
KALOS CAPITAL, INC.
June 28, 2006 - August 25, 2009
MUTUAL SERVICE CORPORATION
June 26, 2006 - August 25, 2009
MUTUAL SERVICE CORPORATION
February 13, 2003 - June 28, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 24, 2003 - June 28, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 22, 2003 - January 24, 2003
COMMONWEALTH FINANCIAL NETWORK
August 10, 1998 - January 24, 2003
COMMONWEALTH FINANCIAL NETWORK
December 15, 1988 - October 20, 1998
NLBS ADVISERS, INC.
July 19, 1988 - January 1, 1989
FIRM INVESTMENT CORP
July 21, 1987 - October 20, 1998
NLBS ADVISERS, INC.
November 24, 1986 - July 18, 1988
NLBS ADVISERS, INC.
May 2, 1986 - December 4, 1986
INVESTACORP, INC.
October 2, 1984 - March 31, 1986
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
