BU
Bruce D. Upham
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CRD#: 3136849
BU
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 Douglas Upham was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1998. Bruce had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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) NAME: BRUCE UPHAM INV REL: Y ADD: 317 GRACE LANE SUITE 250 AUSTIN, TX 78746 NATURE: LIFE AND HEALTH INSURANCE SALES POSITION: AGENT START DATE: 01/01/2010 HR/MO: 1 HR/MO DURING SEC TRADING: 0 (2) NAME: BRUCE UPHAM INV REL: Y ADD: AT RESIDENTIAL ADDRESS NATURE: RENTAL PROPERTY CONDO POSITION: OWNER START DATE: 01/01/1980 HR/MO: 1 HR/MO DURING SEC TRADING: 0 (3) NAME: FAMILY TRUST INV REL: Y ADD: AT THE RESIDENTIAL ADDRESS NATURE: FAMILY TRUST POSITION: TRUSTEE START DATE: 06/19/2021 No. HR/MO: 2. No. HR/MO DURING SEC TRADING: 0. DESCRIBE DUTIES: TRUSTEE FOR BROTHER'S TRUST, FILE TAX RETURNS, ACCOUNTING, PROCESS WITH INFORMATION REQUEST, PAY BILLS, DISTRIBUTIONS. (4) NAME: FAMILY TRUST INV REL: Y ADD: AT THE RESIDENTIAL ADDRESS NATURE: FAMILY TRUST POSITION: TRUSTEE START DATE: 06/19/2021 No. HR/MO: 2. No. HR/MO DURING SEC TRADING: 0. DESCRIBE DUTIES: TRUSTEE FOR FAMILY TRUST, FILE TAX RETURNS, ACCOUNTING, PROCESS WITH INFORMATION REQUEST, PAY BILLS, DISTRIBUTIONS.
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®
NoneExperience
Past
February 18, 2009 - January 19, 2023
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Austin, TX
Past
February 18, 2009 - January 19, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Austin, TX
Past
October 26, 2000 - February 11, 2009
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
AUSTIN, TX
Past
October 26, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
October 26, 2000 - February 11, 2009
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
AUSTIN, TX
Past
December 21, 1998 - November 2, 2000
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
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".
MML INVESTORS SERVICES, LLC
CONCORDE FINANCIAL ADVISORS | THE ESTABLISHMENT BY MASSMUTUAL | THE ESTABLISHMENT BY BARNUM FINANCIAL GROUP | THE ESTABLISHMENT | MML PLAN SOLUTIONS | MML INVESTORS SERVICES, LLC | MML INVESTORS SERVICES, INC. | MML INVESTORS SERVICES | MASSMUTUAL FINANCIAL GROUP | IN GOOD COMPANY | HFG ADVISORS
CRD#: 10409 / SEC#: 801-44264, 8-27250
RIA
Registered Investment Advisory firm - SEC (7/13/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MML INVESTORS SERVICES, LLC
CONCORDE FINANCIAL ADVISORS | THE ESTABLISHMENT BY MASSMUTUAL | THE ESTABLISHMENT BY BARNUM FINANCIAL GROUP | THE ESTABLISHMENT | MML PLAN SOLUTIONS | MML INVESTORS SERVICES, LLC | MML INVESTORS SERVICES, INC. | MML INVESTORS SERVICES | MASSMUTUAL FINANCIAL GROUP | IN GOOD COMPANY | HFG ADVISORS
CRD#: 10409 / SEC#: 801-44264, 8-27250
RIA
Registered Investment Advisory firm - SEC (7/13/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
1295 State Street, Springfield, MA 01111-0001
Mailing Address
1295 State Street, Springfield, MA 01111-0001
Phone number
(413) 737-8400
Established
Massachusetts since 01/01/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
7,056
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 12/19/2022 |
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.
