Bruce E. Porter

SMB FINANCIAL SERVICES

PORTLAND, OR 97223

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CRD#: 4202893

Professional summary

Bruce Edward Porter, who also goes by Bruce E. Porter, Bruce Porter, is a registered financial advisor currently at SMB FINANCIAL SERVICES, INC. located in Portland, Oregon.

Bruce is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Bruce has worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bruce E. Porter | Bruce Porter

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.

I AM APPOINTED WITH PACIFIC BENEFITS GROUP AS AN AGENT FOR THEIR VARIOUS HEAALTH INSURERS (SUCH AS FORTIS & LIFEWISE). THIS BUSINESS IS NOT INVESTMENT RELATED. I AM APPOINTED ONLY FOR LIFE AND HEALTH PRODUCTS. HOURS DURING SECURITIES TRADING HOURS VARY BY APPOINTMENTS.//BRUCE E PORTER, NIR, 13502 SW WILLOW TOP LN TIGARD OR 97224, SELLING/LICENSING DOMAIN NAMES, 2/05-PRES, 1HR/MO.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Edward Porter'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

July 23, 2010 - Present

SMB FINANCIAL SERVICES, INC.

Office #1: 11535 Sw 67th Ave, Portland, OR 97223

RIA

CRD#: 154216

PORTLAND, OR

Past

January 21, 2003 - July 23, 2010

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

LAKE OSWEGO, OR

Past

June 1, 2001 - July 23, 2010

PRINCIPAL SECURITIES, INC.

CRD#: 1137

LAKE OSWEGO, OR

Past

June 26, 2000 - May 4, 2001

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

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".

SMB FINANCIAL SERVICES, INC.

RETIREMENT INCOME ADVISORS | SMB FINANCIAL SERVICES, INC. | SMB FINANCIAL SERVICES LLC

CRD#: 154216 / SEC#: 801-116704

RIA

Registered Investment Advisory firm - (5/29/2019 Approved)

Oregon

Registered Investment Advisory firm - (6/3/2019 Terminated)

Washington

Registered Investment Advisory firm - (6/19/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Oregon
(7/23/2010)

IAR

Washington
(7/12/2011)

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: 10/19/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/22/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/28/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/21/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 8/16/2005

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/29/2002

General Securities Principal Examination

Current Firm

SMB FINANCIAL SERVICES, INC.

RETIREMENT INCOME ADVISORS | SMB FINANCIAL SERVICES, INC. | SMB FINANCIAL SERVICES LLC

CRD#: 154216 / SEC#: 801-116704

RIA

Registered Investment Advisory firm - (5/29/2019 Approved)

Oregon

Registered Investment Advisory firm - (6/3/2019 Terminated)

Washington

Registered Investment Advisory firm - (6/19/2019 Terminated)

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Contact information

Main Address

11535 Sw 67th Ave, Portland, OR 97223

Mailing Address

Phone number

(503) 387-3222

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	765
AUM (Assets Under Management)	$ 160,307,060

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 E. Porter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Edward Porter's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

CAPITAL BROKERAGE CORPORATION

Primary Firm SEC Registration

SMB FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/2002

Series 63

Date: 6/22/2000

Series 7

Date: 12/28/2001

Series 6

Date: 6/21/2000

Series 53

Date: 8/16/2005

Series 24

Date: 1/29/2002

Current Firm

SMB FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMB FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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