NB
Neil A. Bonneson Bruce
ASSOCIATED INVESTMENT SERVICES
St. Louis Park, MN 55416
Some features on this profile are disabled
CRD#: 4284550
NB
Professional summary
Neil A. D. Bonneson Bruce, who also goes by Neil Adam Bonneson, Neil Bonneson, Neil A Bonneson, is a registered financial advisor currently at ASSOCIATED INVESTMENT SERVICES, INC. located in St. Louis Park, Minnesota.
Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Neil has worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Neil Adam Bonneson | Neil Bonneson | Neil A Bonneson
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.
CRS (Client Relationship Summary) - RIA
Click below to view Neil A. D. Bonneson Bruce's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Neil A. D. Bonneson 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
June 3, 2021 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 5353 Wayzata Blvd., St. Louis Park, MN 55416RIA
BD
CRD#: 1464
St. Louis Park, MN
Current
June 3, 2021 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 5353 Wayzata Blvd., St. Louis Park, MN 55416RIA
BD
CRD#: 1464
St. Louis Park, MN
Past
April 3, 2018 - May 20, 2021
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
BLOOMINGTON, MN
Past
April 3, 2018 - May 20, 2021
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
BLOOMINGTON, MN
Past
July 15, 2016 - February 15, 2017
COLLIERS SECURITIES LLC
RIA
CRD#: 7477
MINNEAPOLIS, MN
Past
July 15, 2016 - February 15, 2017
COLLIERS SECURITIES LLC
BD
CRD#: 7477
MINNEAPOLIS, MN
Past
January 21, 2014 - July 21, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CRYSTAL, MN
Past
November 15, 2013 - July 21, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CRYSTAL, MN
Past
January 10, 2012 - November 18, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
EDEN PRAIRIE, MN
Past
March 8, 2007 - August 31, 2011
ASSOCIATED INVESTMENT SERVICES, INC.
BD
CRD#: 1464
PLYMOUTH, MN
Past
December 4, 2006 - February 5, 2007
IFMG SECURITIES, INC.
BD
CRD#: 14416
MINNEAPOLIS, MN
Past
April 28, 2003 - December 31, 2006
TCF INVESTMENTS, INC.
BD
CRD#: 34954
MINNETONKA, MN
Past
November 12, 2002 - January 17, 2003
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
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".
ASSOCIATED INVESTMENT SERVICES, INC.
ASSOCIATED | ASSOCIATED WEALTH MANAGEMENT | ASSOCIATED INVESTMENT SERVICES, INC. | ASSOCIATED INVESTMENT SERVICES GROUP, INC. | ASSOCIATED INVESTMENT SERVICES GROUP | ASSOCIATED BANK PRIVATE WEALTH
CRD#: 1464 / SEC#: 801-71639, 8-99
RIA
Registered Investment Advisory firm - SEC (7/1/2010 Approved)Illinois
Registered Investment Advisory firm - SEC (7/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (7/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/20/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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(1/31/2022)
IAR
Arizona(2/7/2022)
RR
Colorado(1/27/2022)
IAR
Colorado(1/10/2025)
RR
Minnesota(6/4/2021)
IAR
Minnesota(6/4/2021)
RR
Washington(8/10/2023)
RR
Wisconsin(6/15/2021)
IAR
Wisconsin(6/17/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ASSOCIATED INVESTMENT SERVICES, INC.
ASSOCIATED | ASSOCIATED WEALTH MANAGEMENT | ASSOCIATED INVESTMENT SERVICES, INC. | ASSOCIATED INVESTMENT SERVICES GROUP, INC. | ASSOCIATED INVESTMENT SERVICES GROUP | ASSOCIATED BANK PRIVATE WEALTH
CRD#: 1464 / SEC#: 801-71639, 8-99
RIA
Registered Investment Advisory firm - SEC (7/1/2010 Approved)Illinois
Registered Investment Advisory firm - SEC (7/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (7/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/20/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
433 Main Street, Green Bay, WI 54301-5114
Mailing Address
P.o. Box 640, Green Bay, WI 54305-0640
Phone number
(800) 595-7722
Established
Wisconsin since 03/23/1923
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
62
SEC notice filing (19 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATED TRUST COMPANY, N.A. | SOLE SHAREHOLDER | |
| ARNOLD, ANDREW JAMES | DIRECTOR, TREASURER | 7744204 |
| BIESE, JUSTIN MICHAEL | PRINCIPAL, FINANCIAL REPORTING | 8134423 |
| CRAVILLION, BETH ANN | DIRECTOR OF SUPPORT SERVICES | 4770231 |
| DELOYE, DENNIS MICHAEL | DIRECTOR, BOARD OF DIRECTORS | 7555524 |
| HLADIO, JAYNE CLARA | DIRECTOR, BOARD OF DIRECTORS | 2497546 |
| HOCHHOLZER, MICHAEL ROBERT | DIRECTOR, BOARD OF DIRECTORS | 2878493 |
| KUIPERS, MICHAEL DAVID | DIRECTOR, PRESIDENT & CEO | 2436388 |
| PECORA, ANTHONY PHILIP | CHIEF COMPLIANCE OFFICER | 2975013 |
| SORENSON, HEATH WILLIAM | CHAIRMAN, BOARD OF DIRECTORS | 4528655 |
| ZANDPOUR, STEVEN SIA | DIRECTOR, BOARD OF DIRECTORS | 7174720 |
Regulatory assets under management
| Total Number of Accounts | 5,050 |
| AUM (Assets Under Management) | $ 1,000,633,569 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/15/2025 | ||
| 09/26/2024 | ||
| 08/21/2023 | ||
| 10/19/2022 |
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.
