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Bruce J. Lacey
DE GROOTE FINANCIAL GROUP
Newport Beach, CA 92660
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CRD#: 2853490
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Professional summary
Bruce John Lacey, CIMA® is a registered financial advisor currently at DE GROOTE FINANCIAL GROUP, LLC located in Newport Beach, California.
Bruce is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Bruce has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. I AM CURRENTLY AN EMPLOYEE/CONTRACTOR OF UNITED CAPITAL FINANCIAL ADVISERS, LLC ("UCFA") and notice filed as an investment adviser representative. UCFA IS AN INVESTMENT ADVISER REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION AND NOTICE FILED IN ALL 50 STATES. UCFA PROVIDES investment advisory services to its clients, including discretionary investment management and financial guidance (SEE UCFA'S Form ADV FOR DETAILS). THROUGH UCFA, I MAY REFER CLIENTS TO non-publicly traded ALTERNATIVE INVESTMENT STRATEGIES. WHEN MAKING SUCH REFERRALS I WILL NOT RECEIVE ANY DIRECT OR INDIRECT COMPENSATION FROM THE alternative investment providers THAT CLIENTS ARE REFERRED TO. THIS BUSINESS IS OUTSIDE OF MY RELATIONSHIP WITH GIRARD SECURITIES, INC. UCFA has several marketing names and is also known as: UCFA, LLC, United Capital, United Capital Financial Life Management, United Capital Private Wealth Counseling & United Capital Retirement Advisers. Individual office locations may market themselves using any combination of the names listed above as well as a name that includes their office location or their previous firm name with the tagline: A Division of United Capital. 2. I AM A REGISTERED REPRESENTATIVE WITH and independent contractor of GIRARD SECURITIES, INC. ("Girard") A REGISTERED BROKER/DEALER, INVESTMENT ADVISER, FINRA MEMBER and SIPC MEMBER. 9560 WAPLES ST., SUITE B, SAN DIEGO, CA 92121. When providing broker dealer services through Girard, the services are separate and distinct from advisory services offered through UCFA.
CRS (Client Relationship Summary) - RIA
Click below to view Bruce John Lacey'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®
Experience
Current
October 3, 2023 - Present
DE GROOTE FINANCIAL GROUP, LLC
Office #1: 120 Newport Center Drive Suite 274, Newport Beach, CA 92660RIA
CRD#: 168178
Newport Beach, CA
Past
September 30, 2009 - June 29, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
NEWPORT BEACH, CA
Past
February 2, 2009 - January 20, 2023
UNITED CAPITAL FINANCIAL ADVISORS
RIA
CRD#: 134600
NEWPORT BEACH, CA
Past
July 8, 1997 - February 11, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WOODLAND HILLS, CA
Past
March 21, 1997 - February 11, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WOODLAND HILLS, CA
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".
DG
DE GROOTE FINANCIAL GROUP, LLC
ABERNAND CAPITAL ADVISORS, LLC | DE GROOTE FINANCIAL GROUP, LLC
CRD#: 168178 / SEC#: 801-78358
RIA
Registered Investment Advisory firm - (7/25/2013 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
California(10/3/2023)
IAR
Texas(9/11/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
DG
DE GROOTE FINANCIAL GROUP, LLC
ABERNAND CAPITAL ADVISORS, LLC | DE GROOTE FINANCIAL GROUP, LLC
CRD#: 168178 / SEC#: 801-78358
RIA
Registered Investment Advisory firm - (7/25/2013 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3013 Willow Lane, Thousand Oaks, CA 91361
Mailing Address
Phone number
(805) 230-0111
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,093 |
| AUM (Assets Under Management) | $ 750,623,008 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/17/2025 | ||
| 07/25/2024 | ||
| 04/02/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
