Howard B. Marshall

SAFE HARBOR FIDUCIARY

ST. SIMONS ISLAND, GA

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CRD#: 2121441

Professional summary

Howard Bruce Marshall, who also goes by Bruce Marshall, H. Bruce Marshall, Howard B Marshall, is a registered financial advisor currently at SAFE HARBOR FIDUCIARY, LLC located in St. Simons Island, Georgia.

Howard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Howard has worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bruce Marshall | H. Bruce Marshall | Howard B Marshall

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.

REAL ESTATE OWNERSHIP:SINGLE FAMILY FOR ALL,1215 ALPINE DR, HELEN GA INC:$1,000 TO $1,999/3275 LENOX ROAD, ATLANTA 30324,INC:$1,000 TO $1,999/205 SILVERADO DR HUNTSVILLE AL,INC :$2,000 TO $2,999. SIMPLER TRADING LLC; INV REL; INVESTMENT EDUCATOR/CONTENT PROVIDER; AUSTIN, TX; GREATER THAN 75% OF TIME; START 03/2013.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Bruce Marshall'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®

None

Experience

Current

March 20, 2023 - Present

SAFE HARBOR FIDUCIARY, LLC

RIA

CRD#: 169659

ST. SIMONS ISLAND, GA

Past

November 1, 2011 - March 17, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

ATLANTA, GA

Past

November 1, 2011 - March 17, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ATLANTA, GA

Past

October 11, 2011 - November 4, 2011

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

ATLANTA, GA

Past

October 1, 2009 - November 4, 2011

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

ATLANTA, GA

Past

November 21, 2006 - September 17, 2009

SYNOVUS SECURITIES, INC.

RIA

CRD#: 14023

ATLANTA, GA

Past

November 21, 2006 - September 17, 2009

SYNOVUS SECURITIES, INC.

CRD#: 14023

ATLANTA, GA

Past

February 28, 2003 - November 13, 2006

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

ATLANTA, GA

Past

July 6, 2001 - November 13, 2006

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

ATLANTA, GA

Past

May 11, 1992 - July 11, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 25, 1991 - May 28, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

SAFE HARBOR FIDUCIARY, LLC

CRD#: 169659 / SEC#: 801-121650

RIA

Registered Investment Advisory firm - (6/29/2021 Approved)

Alabama

Registered Investment Advisory firm - (7/6/2021 Terminated)

Florida

Registered Investment Advisory firm - (7/6/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/6/2021 Terminated)

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).

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

Georgia
(4/20/2023)

IAR

Texas
(3/20/2023)

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: 1/28/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/1/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/23/1991

General Securities Representative Examination

Current Firm

SAFE HARBOR FIDUCIARY, LLC

CRD#: 169659 / SEC#: 801-121650

RIA

Registered Investment Advisory firm - (6/29/2021 Approved)

Alabama

Registered Investment Advisory firm - (7/6/2021 Terminated)

Florida

Registered Investment Advisory firm - (7/6/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/6/2021 Terminated)

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Contact information

Main Address

700 South Palafox Street Suite 300, Pensacola, FL 32502

Mailing Address

Phone number

(850) 435-4844

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A SEC (3/28/2025)

Regulatory assets under management

Total Number of Accounts	530
AUM (Assets Under Management)	$ 131,977,387

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

Howard B. Marshall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Bruce Marshall's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

SYNOVUS SECURITIES, INC.

SYNOVUS SECURITIES, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

SAFE HARBOR FIDUCIARY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/28/2023

Series 63

Date: 2/1/1991

Series 7

Date: 1/23/1991

Current Firm

SAFE HARBOR FIDUCIARY, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAFE HARBOR FIDUCIARY, LLC

TRUST BUT VERIFY

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