Bruce T. Herbert

NEWGROUND SOCIAL INVESTMENT

Seattle, WA 98109

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CRD#: 1342408

Professional summary

Bruce Thomson Herbert, AIF®, who also goes by Bruce Herbert, is a registered financial advisor currently at NEWGROUND SOCIAL INVESTMENT located in Seattle, Washington.

Bruce is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Bruce has worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bruce Herbert

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) - RIA

Click below to view Bruce Thomson Herbert'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

June 23, 2000 - Present

NEWGROUND SOCIAL INVESTMENT

Office #1: 111 Queen Anne Ave N, Suite 500, Seattle, WA 98109Office #2: 111 Queen Anne Ave N Suite 500, Seattle, WA 98109

RIA

CRD#: 117060

Seattle, WA

Past

June 23, 2000 - December 31, 2004

NEWGROUND SOCIAL INVESTMENT

RIA

CRD#: 117060

SEATTLE, WA

Past

February 22, 1991 - February 18, 1994

PARNASSUS FUNDS DISTRIBUTOR, LLC

CRD#: 15883

Past

February 21, 1985 - December 6, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

NEWGROUND SOCIAL INVESTMENT

NEWGROUND INVESTMENT SERVICES, INC. | NEWGROUND SOCIAL INVESTMENT, SPC | NEWGROUND SOCIAL INVESTMENT, INC. | NEWGROUND SOCIAL INVESTMENT | NEWGROUND INVESTMENT SERVICES, OR NEWGROUND

CRD#: 117060 / SEC#: 801-123559

RIA

Registered Investment Advisory firm - (3/25/2022 Approved)

Washington

Registered Investment Advisory firm - (5/9/2022 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.

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

Washington
(6/23/2000)

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: 3/8/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/16/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/8/1994

General Securities Principal Examination

Current Firm

NEWGROUND SOCIAL INVESTMENT

NEWGROUND INVESTMENT SERVICES, INC. | NEWGROUND SOCIAL INVESTMENT, SPC | NEWGROUND SOCIAL INVESTMENT, INC. | NEWGROUND SOCIAL INVESTMENT | NEWGROUND INVESTMENT SERVICES, OR NEWGROUND

CRD#: 117060 / SEC#: 801-123559

RIA

Registered Investment Advisory firm - (3/25/2022 Approved)

Washington

Registered Investment Advisory firm - (5/9/2022 Terminated)

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Contact information

Main Address

111 Queen Anne Ave N, Suite 500, Seattle, WA 98109

Mailing Address

Phone number

(206) 522-1944

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NSI_ADV-BROCHURE_PART-2A_FINAL.PDF (3/13/2025)

Regulatory assets under management

Total Number of Accounts	420
AUM (Assets Under Management)	$ 144,658,479

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 T. Herbert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Thomson Herbert's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWGROUND SOCIAL INVESTMENT

NEWGROUND SOCIAL INVESTMENT

PARNASSUS FUNDS DISTRIBUTOR, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

NEWGROUND SOCIAL INVESTMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 3/8/1985

Series 7

Date: 2/16/1985

Series 24

Date: 3/8/1994

Current Firm

NEWGROUND SOCIAL INVESTMENT

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEWGROUND SOCIAL INVESTMENT

TRUST BUT VERIFY

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