James M. Bruderman

BRUDERMAN PRIVATE WEALTH

LOCUST VALLEY, NY 11560

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CRD#: 2210472

Professional summary

James Matthew Bruderman, who also goes by James M. Bruderman, Jim Bruderman, is a registered financial advisor currently at BRUDERMAN PRIVATE WEALTH located in Locust Valley, New York.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 8 exams.

At a Glance

Always Fiduciary

Aliases

James M. Bruderman | Jim Bruderman

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.

Start Date: 8/1/2021, JMB Hospitality Group. Entity is currently inactive. This is non-investment related, no compensation received and zero time devoted monthly. President, Bruderman Private Wealth (CRD #323195), registered investment advisor. 40+ plus hours a week.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Matthew Bruderman'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

October 18, 2022 - Present

BRUDERMAN PRIVATE WEALTH

Office #1: 113 Birch Hill Road, Locust Valley, NY 11560

RIA

CRD#: 323195

LOCUST VALLEY, NY

Past

July 7, 2017 - October 19, 2022

GARY GOLDBERG PLANNING SERVICES

RIA

CRD#: 173565

LOCUST VALLEY, NY

Past

June 16, 2016 - December 31, 2022

GARY GOLDBERG & CO., LLC

CRD#: 47957

LOCUST VALLEY, NY

Past

December 13, 1993 - May 13, 2011

CHARLES SCHWAB & CO., INC.

CRD#: 5393

HOLYOKE, MA

Past

February 20, 1992 - July 28, 1993

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

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".

BRUDERMAN PRIVATE WEALTH

ALV INVESTOR SOLUTIONS, LLC | J.M. BRUDERMAN & COMPANY, LLC | BRUDERMAN PRIVATE WEALTH

CRD#: 323195 / SEC#: 801-126644

RIA

Registered Investment Advisory firm - (9/30/2022 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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(10/25/2022)

IAR

New York
(10/18/2022)

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

What does exam status mean?

State Security Law Exam

IAR

Series 66

Status Unavailable

Passed: 7/7/2017

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Status Unavailable

Passed: 2/10/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 2/26/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Status Unavailable

Passed: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 6/9/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Status Unavailable

Passed: 8/21/2017

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Status Unavailable

Passed: 10/23/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

BRUDERMAN PRIVATE WEALTH

ALV INVESTOR SOLUTIONS, LLC | J.M. BRUDERMAN & COMPANY, LLC | BRUDERMAN PRIVATE WEALTH

CRD#: 323195 / SEC#: 801-126644

RIA

Registered Investment Advisory firm - (9/30/2022 Approved)

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Contact information

Main Address

113 Birch Hill Road, Locust Valley, NY 11560

Mailing Address

Phone number

(516) 974-7596

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 (2/28/2026)

Regulatory assets under management

Total Number of Accounts	33
AUM (Assets Under Management)	$ 78,514,722

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

James M. Bruderman

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Matthew Bruderman's CRS (Customer Relationship Summary).

Certified licenses

Experience

GARY GOLDBERG PLANNING SERVICES

GARY GOLDBERG & CO., LLC

CHARLES SCHWAB & CO., INC.

GLEACHER & COMPANY SECURITIES, INC.

Primary Firm SEC Registration

BRUDERMAN PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Passed: 7/7/2017

Series 65

Passed: 2/10/1993

Series 63

Passed: 2/26/1992

Series 99TO

Passed: 1/2/2023

SIE

Passed: 10/1/2018

Series 7

Passed: 6/9/2016

Series 24

Passed: 8/21/2017

Series 8

Passed: 10/23/1995

Current Firm

BRUDERMAN PRIVATE WEALTH

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRUDERMAN PRIVATE WEALTH

TRUST BUT VERIFY

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