SB
Steven B. Bruce
FLAGSHIP HARBOR ADVISORS
Plymouth, MA 02360
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CRD#: 2310778
SB
Professional summary
Steven Brett Bruce, who also goes by Steven Bruce, is a registered financial advisor currently at FLAGSHIP HARBOR ADVISORS, LLC located in Plymouth, Massachusetts and LPL FINANCIAL LLC located in Plymouth, Massachusetts.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Steven has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Bruce
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.
1. 7/1/2020 - Flagship Harbor Advisors LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
2. 1/19/2021 - Flagship Harbor Plymouth - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 07/23/2020 - 120 Hours Per Month During Securities Trading - I provide investment advisory services through Flagship Harbor Plymouth, an independent investment advisor firm. I started this business activity in 1/2021. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Brett Bruce'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®
NoneExperience
Current
September 22, 2020 - Present
FLAGSHIP HARBOR ADVISORS, LLC
Office #1: 15 Caswell Lane, Plymouth, MA 02360RIA
CRD#: 155733
Plymouth, MA
Current
July 1, 2020 - Present
LPL FINANCIAL LLC
Office #1: 15 Caswell Ln # 2, Plymouth, MA 02360RIA
BD
CRD#: 6413
PLYMOUTH, MA
Past
December 21, 2016 - June 5, 2020
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
NASHVILLE, TN
Past
May 19, 2016 - June 5, 2020
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NEW YORK, NY
Past
April 17, 2014 - May 2, 2016
FS INVESTMENT SOLUTIONS, LLC
BD
CRD#: 145244
PHILADELPHIA, PA
Past
March 24, 2008 - April 16, 2014
KBS CAPITAL MARKETS GROUP LLC
BD
CRD#: 132299
NEWPORT BEACH, CA
Past
January 30, 2007 - March 14, 2008
VOYA INVESTMENTS DISTRIBUTOR, LLC
BD
CRD#: 37886
BELCHERTOWN, MA
Past
August 15, 2001 - January 31, 2007
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
MARLBOROUGH, MA
Past
November 15, 2000 - August 15, 2001
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
BOSTON, MA
Past
October 17, 2000 - August 15, 2001
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
October 7, 1994 - October 17, 2000
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
August 18, 1993 - September 30, 1994
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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".
FH
FLAGSHIP HARBOR ADVISORS, LLC
3MERITUS WEALTH MANAGEMENT | TRESTLEBRIDGE CAPITAL | TINKHAM WEALTH MANAGEMENT | THRIVE WEALTH STRATEGIES | THORNE FINANCIAL PARTNERS | SHEVLIN WEALTH MANAGEMENT | SHEPARD FINANCIAL | SEASHORE FINANCIAL | SCHRUMM FINANCIAL | RISING TIDE CAPITAL | PARKER WEALTH MANAGEMENT | PARADIGM PRIVATE WEALTH | NORTHERN PEAK WEALTH MANAGEMENT | NORTHERN PEAK FINANCIAL | MUNROE MORROW WEALTH MANAGEMENT | MIRICA WEALTH | MCGUIGAN FINANCIAL | MAITLAND FINANCIAL GROUP | LAURENZ FINANCIAL | KEFAUVER FINANCIAL PLANNING & WEALTH MANAGEMENT | KARRIS & CO. | INTEGRITAS FINANCIAL ADVISORS | GOLDSON FINANCIAL | FLAGSHIP HARBOR ADVISORS, LLC | FIELDSTONE WEALTH MANAGEMENT | FENTON FINANCIAL GROUP | CURRENCY CAMP | CONCIERGE WEALTH MANAGEMENT | CHARTHOUSE CAPITAL | BRANDT WEALTH ADVISORS | BERRY MANAGEMENT, LLC | BERGSTRESSER FINANCIAL | AVERY WEALTH MANAGEMENT | ATLAS PRIVATE WEALTH ADVISORS | ARC FINANCIAL | ANDREASEN FINANCIAL
CRD#: 155733 / SEC#: 801-71997
RIA
Registered Investment Advisory firm - (12/8/2010 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.RR
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
RR
Arizona(2/22/2021)
RR
California(10/23/2020)
RR
Connecticut(10/23/2020)
RR
Delaware(10/23/2020)
RR
Florida(10/23/2020)
RR
Georgia(10/23/2020)
RR
Maine(10/23/2020)
RR
Massachusetts(7/1/2020)
IAR
Massachusetts(9/22/2020)
RR
Michigan(1/5/2021)
RR
New Hampshire(10/23/2020)
RR
New Jersey(10/23/2020)
RR
New York(12/7/2020)
RR
North Carolina(1/6/2021)
RR
Pennsylvania(1/5/2021)
RR
Rhode Island(1/5/2021)
RR
South Carolina(1/5/2021)
RR
Texas(1/15/2021)
RR
Utah(8/2/2022)
RR
Virginia(1/15/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/5/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FH
FLAGSHIP HARBOR ADVISORS, LLC
3MERITUS WEALTH MANAGEMENT | TRESTLEBRIDGE CAPITAL | TINKHAM WEALTH MANAGEMENT | THRIVE WEALTH STRATEGIES | THORNE FINANCIAL PARTNERS | SHEVLIN WEALTH MANAGEMENT | SHEPARD FINANCIAL | SEASHORE FINANCIAL | SCHRUMM FINANCIAL | RISING TIDE CAPITAL | PARKER WEALTH MANAGEMENT | PARADIGM PRIVATE WEALTH | NORTHERN PEAK WEALTH MANAGEMENT | NORTHERN PEAK FINANCIAL | MUNROE MORROW WEALTH MANAGEMENT | MIRICA WEALTH | MCGUIGAN FINANCIAL | MAITLAND FINANCIAL GROUP | LAURENZ FINANCIAL | KEFAUVER FINANCIAL PLANNING & WEALTH MANAGEMENT | KARRIS & CO. | INTEGRITAS FINANCIAL ADVISORS | GOLDSON FINANCIAL | FLAGSHIP HARBOR ADVISORS, LLC | FIELDSTONE WEALTH MANAGEMENT | FENTON FINANCIAL GROUP | CURRENCY CAMP | CONCIERGE WEALTH MANAGEMENT | CHARTHOUSE CAPITAL | BRANDT WEALTH ADVISORS | BERRY MANAGEMENT, LLC | BERGSTRESSER FINANCIAL | AVERY WEALTH MANAGEMENT | ATLAS PRIVATE WEALTH ADVISORS | ARC FINANCIAL | ANDREASEN FINANCIAL
CRD#: 155733 / SEC#: 801-71997
RIA
Registered Investment Advisory firm - (12/8/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
346 Commercial Street, Boston, MA 02109
Mailing Address
Phone number
(857) 350-4229
Established
Firm type
Fiscal year end
# of Employees
60
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,382 |
| AUM (Assets Under Management) | $ 3,008,478,711 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FLAGSHIP HARBOR ADVISORS, LLC
CRD#: 155733Plymouth, MA 02360TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
