Robert V. 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.
Robert V Bruce, CFP®, who also goes by Bob Bruce, Robert VIggo Bruce, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2009 - September 28, 2021
AVANTAX ADVISORY SERVICES
January 5, 2009 - September 28, 2021
AVANTAX INVESTMENT SERVICES, INC.
September 14, 2007 - December 22, 2008
I.M. FINANCIAL, LLC
November 15, 2006 - December 31, 2008
1ST GLOBAL CAPITAL CORP.
September 11, 2006 - December 12, 2006
AVANTAX INVESTMENT SERVICES, INC.
January 20, 1986 - June 21, 2006
AVANTAX INVESTMENT SERVICES, INC.
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 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.
