Bruce L. Fleet

FLEET CAPITAL MANAGEMENT

Boulder, CO 80304

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CRD#: 1529233

Professional summary

Bruce Larry Fleet, who also goes by Bruce L Fleet, is a registered financial advisor currently at FLEET CAPITAL MANAGEMENT, LLC located in Boulder, Colorado.

Bruce is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Bruce has worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bruce L Fleet

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 Larry Fleet's 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®

None

Experience

Current

July 31, 2008 - Present

FLEET CAPITAL MANAGEMENT, LLC

Office #1: 4590 13th Street Unit 103, Boulder, CO 80304

RIA

CRD#: 138836

Boulder, CO

Past

January 1, 1999 - January 27, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DENVER, CO

Past

June 20, 1995 - January 27, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 10, 1990 - June 13, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 29, 1988 - September 26, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 23, 1986 - May 13, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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

Colorado
(7/31/2008)

IAR

Washington
(9/24/2010)

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

IAR

Series 65

Date: 10/5/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/1/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 12/18/2018

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 12/13/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

Current Firm

FLEET CAPITAL MANAGEMENT, LLC

CRD#: 138836 / SEC#: 801-65162

RIA

Registered Investment Advisory firm - (3/2/2010 Terminated)

Colorado

Registered Investment Advisory firm - (7/31/2008 Approved)

Washington

Registered Investment Advisory firm - (9/24/2010 Approved)

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).

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Contact information

Main Address

Bellingham, WA

Mailing Address

Phone number

(360) 389-6407

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	16
AUM (Assets Under Management)	$ 18,600,000

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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Advisor Monitoring

Firm Stability Insights

Bruce L. Fleet

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Larry Fleet's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/1995

Series 63

Date: 8/1/1986

Series 3

Date: 12/18/2018

Series 31

Date: 12/13/1999

Series 7

Date: 7/19/1986

Current Firm

FLEET CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FLEET CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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