Bruce D. Simon

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CRD#: 1976549

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 David Simon was a registered financial professional .

Bruce is a previously registered financial professional and started their career in finance in 2002. Bruce had worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 10, Series 9, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 7, 2016 - June 2, 2025

BALLENTINE PARTNERS

RIA

CRD#: 152802

Palm Beach Gardens, FL

Past

April 17, 2013 - May 2, 2016

CITY NATIONAL ROCHDALE

RIA

CRD#: 117198

NEW YORK, NY

Past

January 23, 2013 - May 2, 2016

CNR SECURITIES, LLC

CRD#: 18466

BEVERLY HILLS, CA

Past

February 22, 2010 - January 18, 2011

BALLENTINE PARTNERS

RIA

CRD#: 152802

WALTHAM, MA

Past

June 27, 2007 - February 23, 2010

BALLENTINE FINN & CO INC

RIA

CRD#: 108853

WALTHAM, MA

Past

December 14, 2005 - May 17, 2006

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

NEW YORK, NY

Past

October 18, 2002 - May 17, 2006

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

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".

BALLENTINE PARTNERS

BALLENTINE PARTNERS | MILL STREET INVESTMENT MANAGEMENT | BALLENTINE PARTNERS, LLC

CRD#: 152802 / SEC#: 801-71062

RIA

Registered Investment Advisory firm - (1/25/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 4/29/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/28/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/22/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/28/2005

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/30/2005

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 1/19/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 7/25/1989

Municipal Securities Principal Examination

Current Firm

BALLENTINE PARTNERS

BALLENTINE PARTNERS | MILL STREET INVESTMENT MANAGEMENT | BALLENTINE PARTNERS, LLC

CRD#: 152802 / SEC#: 801-71062

RIA

Registered Investment Advisory firm - (1/25/2010 Approved)

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Contact information

Main Address

230 3rd Avenue Suite 6, Waltham, MA 02451

Mailing Address

230 3rd Avenue Suite 6, Waltham, MA 02451

Phone number

(781) 314-1300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BALLENTINE PARTNERS LLC (3/27/2025)

Regulatory assets under management

Total Number of Accounts	6,877
AUM (Assets Under Management)	$ 12,005,636,010

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/31/2025	Cover Page	Report
02/26/2025	Cover Page	Report
12/21/2023	Cover Page	Report
11/16/2022	Cover Page	Report

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 D. Simon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITY NATIONAL ROCHDALE

CNR SECURITIES, LLC

BALLENTINE PARTNERS

BALLENTINE FINN & CO INC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

BALLENTINE PARTNERS

State Registrations and Notice Filings

Exams

Series 63

Date: 4/29/2013

Series 66

Date: 4/28/2003

SIE

Date: 5/2/2016

Series 7

Date: 1/22/2013

Series 10

Date: 10/28/2005

Series 9

Date: 9/30/2005

Series 24

Date: 1/19/2004

Series 53

Date: 7/25/1989

Current Firm

BALLENTINE PARTNERS

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BALLENTINE PARTNERS

TRUST BUT VERIFY

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