Steven M. Bruce

BRUCE WOOD CAPITAL

SHOREWOOD, WI 53211

CRD#: 4834389

Some features on this profile are disabled

Professional summary

Steven Mccabe Bruce, who also goes by Steven M Bruce, is a registered financial advisor currently at BRUCE WOOD CAPITAL, LLC located in Shorewood, Wisconsin.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Steven has 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"?

Yes

Aliases

Steven M Bruce

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) - RIA

Click below to view Steven Mccabe 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®

None

Experience

Current

February 13, 2025 - Present

BRUCE WOOD CAPITAL, LLC

Office #1: 4314 N Wilson Dr Unit 1, Shorewood, WI 53211

RIA

CRD#: 331360

SHOREWOOD, WI

Past

April 18, 2016 - April 16, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Milwaukee, WI

Past

April 7, 2016 - April 16, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

Milwaukee, WI

Past

September 19, 2007 - January 28, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

September 12, 2007 - January 28, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

MILWAUKEE, WI

Past

March 21, 2006 - August 31, 2006

ALLSPRING FUNDS MANAGEMENT, LLC

RIA

CRD#: 110841

MENOMONEE FALLS, WI

Past

February 7, 2006 - August 31, 2006

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

MENOMONEE FALLS, WI

Past

October 6, 2004 - September 30, 2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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

Wisconsin
(2/13/2025)

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 66

Date: 3/20/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/13/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/8/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/5/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BRUCE WOOD CAPITAL, LLC

CRD#: 331360 / SEC#:

Wisconsin

Registered Investment Advisory firm - (2/13/2025 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4314 N Wilson Dr Unit 1, Shorewood, WI 53211

Mailing Address

Phone number

(414) 666-8102

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	21
AUM (Assets Under Management)	$ 11,700,000

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Wisconsin	ERA - Withdrawn	1/30/2025

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.

Similar Advisors

Casey Berrall

BKM WEALTH MANAGEMENT

IAR

BROOKFIELD, WI

Shelly Wohler

INDEPENDENT FINANCIAL PARTNERS

IAR

Brookfield, WI

Carson Biber

DRAKE & ASSOCIATES, LLC

IAR

WAUKESHA, WI

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven M. Bruce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mccabe Bruce's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ALLSPRING FUNDS MANAGEMENT, LLC

ALLSPRING FUNDS DISTRIBUTOR, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/20/2006

Series 63

Date: 10/13/2004

SIE

Date: 10/1/2018

Series 7

Date: 3/8/2006

Series 6

Date: 10/5/2004

Current Firm

BRUCE WOOD CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

BRUCE WOOD CAPITAL, LLC

TRUST BUT VERIFY

Similar Advisors