Robert M. Bruzik

ALIGHT FINANCIAL ADVISORS

Lincolnton, NC

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CRD#: 1833112

Professional summary

Robert Michael Bruzik, CFP®, who also goes by Bob Bruzik, Robert Michael Bruzik, Robert Bruzik, is a registered financial advisor currently at ALIGHT FINANCIAL ADVISORS, LLC located in Lincolnton, North Carolina and ALIGHT FINANCIAL SOLUTIONS, LLC located in Charlotte, North Carolina.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Robert has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Bruzik | Robert Michael Bruzik | Robert Bruzik

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.

RENTAL PROPERTY, INV RELATED, PIGEOUN FORGE, TN, 100% OWNERSHIP, START 9/1/2021, 1 HOUR PER MOHTH, ZERO HOURS DURING TRADING, CABIN RENTAL. WHEELHOUSE VENTURES LLC, INV RELATED, CHARLOTTE, NC, 100% OWNERSHIP, START 5/29/2023, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING, HOLDING LOT FOR FUTURE HOME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Michael Bruzik'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®

CFP^®

Certified Financial Planner

Experience

Current

August 23, 2024 - Present

ALIGHT FINANCIAL ADVISORS, LLC

RIA

CRD#: 158744

Lincolnton, NC

Current

July 25, 2024 - Present

ALIGHT FINANCIAL SOLUTIONS, LLC

Office #1: 9335 Harris Corners Parkway Ste 150, Charlotte, NC 28269

CRD#: 36509

CHARLOTTE, NC

Past

March 3, 2023 - May 23, 2024

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CHARLOTTE, NC

Past

March 3, 2023 - May 23, 2024

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHARLOTTE, NC

Past

August 3, 2021 - January 27, 2023

ALIGHT FINANCIAL ADVISORS, LLC

RIA

CRD#: 158744

Charlotte, NC

Past

July 22, 2021 - January 27, 2023

ALIGHT FINANCIAL SOLUTIONS, LLC

CRD#: 36509

CHICAGO, IL

Past

April 24, 2020 - June 29, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CHARLOTTE, NC

Past

April 24, 2020 - June 29, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHARLOTTE, NC

Past

March 16, 2018 - June 14, 2018

BB&T SECURITIES, LLC

RIA

CRD#: 142785

CHARLOTTE, NC

Past

March 16, 2018 - June 14, 2018

BB&T SECURITIES, LLC

CRD#: 142785

CHARLOTTE, NC

Past

March 18, 2014 - January 18, 2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

CHARLOTTE, NC

Past

December 12, 2007 - January 18, 2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CHARLOTTE, NC

Past

October 1, 2000 - December 31, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 29, 1996 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

February 5, 1992 - August 30, 1994

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

July 12, 1988 - January 31, 1992

MONARCH SECURITIES, INC.

CRD#: 2809

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".

ALIGHT FINANCIAL ADVISORS, LLC

ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC

CRD#: 158744 / SEC#: 801-72679

RIA

Registered Investment Advisory firm - (9/13/2011 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

North Carolina
(8/23/2024)

IAR

North Carolina
(8/23/2024)

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

State Security Law Exam

IAR

Series 65

Date: 3/18/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/23/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/14/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/28/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/11/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 6/21/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 5/23/2023

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

Current Firm

ALIGHT FINANCIAL ADVISORS, LLC

ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC

CRD#: 158744 / SEC#: 801-72679

RIA

Registered Investment Advisory firm - (9/13/2011 Approved)

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Contact information

Main Address

9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269

Mailing Address

Phone number

(866) 560-7256

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA ALIGHT IRA ADV PART 2A 2B 03.12.25 (3/31/2025)

AFA PROFESSIONAL MANAGEMENT ADV PART 2A 2B 3.12.25 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	197,089
AUM (Assets Under Management)	$ 30,882,928,556

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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Firm Stability Insights

Robert M. Bruzik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Michael Bruzik's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALIGHT FINANCIAL SOLUTIONS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

ALIGHT FINANCIAL ADVISORS, LLC

ALIGHT FINANCIAL SOLUTIONS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

HORNOR, TOWNSEND & KENT, LLC

MONARCH SECURITIES, INC.

Primary Firm SEC Registration

ALIGHT FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/18/2014

Series 63

Date: 5/23/1997

SIE

Date: 6/14/2018

Series 7

Date: 1/28/2014

Series 6

Date: 7/11/1988

Series 9

Date: 6/21/2023

Series 10

Date: 5/23/2023

FINRA

Current Firm

ALIGHT FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALIGHT FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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