Bruce J. Javer

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CRD#: 2357909

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 John Javer was a registered financial professional .

Bruce is a previously registered financial professional and started their career in finance in 1993. Bruce had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 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

September 26, 2013 - November 20, 2014

MAIN STREET RESEARCH LLC

RIA

CRD#: 114629

SAUSALITO, CA

Past

March 27, 2007 - October 19, 2007

S & Y ASSET MANAGEMENT LLC

RIA

CRD#: 129754

SAN FRANCISCO, CA

Past

August 19, 2002 - February 26, 2007

FISHER INVESTMENTS

RIA

CRD#: 107342

SAN FRANCISCO, CA

Past

June 20, 2002 - September 4, 2002

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SAN FRANCISCO, CA

Past

June 20, 2002 - September 4, 2002

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

February 21, 2002 - July 12, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

February 15, 2002 - July 12, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 14, 1997 - February 19, 2002

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

January 3, 1994 - April 3, 1997

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 9, 1993 - February 3, 1994

FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.

CRD#: 16116

Past

June 8, 1993 - July 19, 1993

REYNOLDS KENDRICK STRATTON, INC.

CRD#: 10414

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".

MAIN STREET RESEARCH LLC

CRD#: 114629 / SEC#: 801-57739

RIA

Registered Investment Advisory firm - (11/14/2000 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

IAR

Series 65

Date: 9/25/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/15/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/7/1993

General Securities Representative Examination

Current Firm

MAIN STREET RESEARCH LLC

CRD#: 114629 / SEC#: 801-57739

RIA

Registered Investment Advisory firm - (11/14/2000 Approved)

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Contact information

Main Address

342 Main Street, Lakeville, CT 06039

Mailing Address

30 Liberty Ship Way Third Floor, Sausalito, CA 94965

Phone number

(860) 435-2350

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM PART 2A BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	2,782
AUM (Assets Under Management)	$ 2,384,657,948

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 J. Javer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

S & Y ASSET MANAGEMENT LLC

FISHER INVESTMENTS

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CIBC WORLD MARKETS CORP.

J.P. MORGAN SECURITIES LLC

FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.

REYNOLDS KENDRICK STRATTON, INC.

Primary Firm SEC Registration

MAIN STREET RESEARCH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2013

Series 63

Date: 6/15/1993

Series 7

Date: 6/7/1993

Current Firm

MAIN STREET RESEARCH LLC

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAIN STREET RESEARCH LLC

TRUST BUT VERIFY

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