Bruce Arthur Galbraith
Professional Summary
Bruce Arthur Galbraith is a registered financial advisor currently at SIEBERT ADVISORNXT, LLC. located in Seal Beach, California and MURIEL SIEBERT & CO., LLC located in Seal Beach, California. Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Bruce has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Years of Experience
41 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
SIEBERT ADVISORNXT, INC. | SIEBERT ADVISORNXT, LLC.
Contact Information
Main Address
300 Vesey Street 5th Floor, New York, NY, 10282Mailing Address
653 Collins Avenue, Miami Beach, FL 33139Phone Number
(800) 872-0444# of Employees
43SEC notice filing (43 States and Territories)
Registered to provide investment advisory services in 43 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
973AUM (Assets Under Management)
$391,509,579Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
SIEBERT ADVISORNXT, INC. | SIEBERT ADVISORNXT, LLC.
State Registrations and Notice Filings
(1/10/2018)
(1/10/2018)
(4/2/2018)
(1/31/2018)
(1/10/2018)
(3/23/2018)
(1/10/2018)
(1/10/2018)
(3/17/2020)
(1/10/2018)
(3/4/2020)
(1/10/2018)
(2/8/2021)
(1/10/2018)
(1/10/2018)
(1/10/2018)
(1/10/2018)
(1/10/2018)
(1/10/2018)
(1/11/2018)
(1/10/2018)
(1/10/2018)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Bruce Arthur Galbraith's CRS (Customer Relationship Summary).
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