Bruce W. Bratt
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 Warren Bratt was a registered financial advisor .
Bruce is a previously registered financial advisor and started their career in finance in 1985. Bruce had worked at 10 firms and has passed the Series 66, Series 63, Series 7, Series 3 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
March 4, 2005 - March 4, 2011
T. ROWE PRICE ADVISORY SERVICES, INC.
March 4, 2005 - April 10, 2012
T. ROWE PRICE INVESTMENT SERVICES, INC.
September 27, 2004 - January 31, 2005
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
January 24, 2003 - September 22, 2004
INVESTMENT PERFORMANCE ADVISORS, LLLP
January 17, 2002 - December 6, 2002
WELLS FARGO INVESTMENTS, LLC
October 25, 2001 - December 6, 2002
WELLS FARGO INVESTMENTS, LLC
May 20, 1997 - July 24, 2001
SCOTTRADE, INC.
July 17, 1989 - April 21, 1997
QUICK & REILLY, INC.
April 19, 1989 - July 17, 1989
BONNELL & CO., INC.
April 30, 1987 - July 27, 1988
NORTH AMERICAN INVESTMENT CORP.
April 23, 1985 - May 5, 1987
FIRST AFFILIATED SECURITIES, INC.
Primary Firm SEC Registration
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
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
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,014 |
| AUM (Assets Under Management) | $ 3,861,357,894 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
