Mallen U. Bruggeman

AUCTUS ADVISORS LLC

Charlotte, NC 28203

Some features on this profile are disabled

CRD#: 6456640

Professional summary

Mallen Urso Bruggeman, who also goes by Mallen Marie Urso, Mallen M Urso, is a registered financial advisor currently at AUCTUS ADVISORS LLC located in Charlotte, North Carolina.

Mallen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Mallen has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mallen Marie Urso | Mallen M Urso

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.

Mallen Marie Urso is a licensed insurance agent. From time to time, she will offer clients advice or products from this activity. Clients should be aware that these services pay a commission and involve a possible conflict of interest, as commissionable products can conflict with the fiduciary duties of a registered investment adviser. Auctus Advisors LLC always acts in the best interest of the client; including in the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of Auctus Advisors LLC in their capacity as a licensed insurance agent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mallen Urso Bruggeman'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

December 8, 2017 - Present

AUCTUS ADVISORS LLC

Office #1: 325 Arlington Avenue Suite 625, Charlotte, NC 28203

RIA

CRD#: 289489

Charlotte, NC

Past

August 10, 2015 - December 11, 2017

M HOLDINGS SECURITIES, INC.

CRD#: 43285

CHARLOTTE, NC

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".

AUCTUS ADVISORS LLC

AUCTUS ADVISORS LLC | M&L WEALTH ADVISORS LLC

CRD#: 289489 / SEC#: 801-111919

RIA

Registered Investment Advisory firm - (10/25/2017 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

North Carolina
(12/8/2017)

IAR

Texas
(12/8/2017)

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: 9/7/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/3/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/10/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AUCTUS ADVISORS LLC

AUCTUS ADVISORS LLC | M&L WEALTH ADVISORS LLC

CRD#: 289489 / SEC#: 801-111919

RIA

Registered Investment Advisory firm - (10/25/2017 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

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

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

Contact information

Main Address

325 Arlington Avenue Suite 625, Charlotte, NC 28203

Mailing Address

Phone number

(704) 533-9880

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AA (9/11/2025)

Regulatory assets under management

Total Number of Accounts	681
AUM (Assets Under Management)	$ 480,924,511

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

David Thompson

SPARTA WEALTH PARTNERS

IAR

CHARLOTTE, NC

Jon Hoyle

INNOVATION PARTNERS LLC

Charlotte, NC

Andrew Digirolamo

PFS INVESTMENTS INC.

Charlotte, NC

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mallen U. Bruggeman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mallen Urso Bruggeman's CRS (Customer Relationship Summary).

Certified licenses

Experience

AUCTUS ADVISORS LLC

M HOLDINGS SECURITIES, INC.

Primary Firm SEC Registration

AUCTUS ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/7/2017

Series 63

Date: 9/3/2015

SIE

Date: 12/11/2017

Series 6

Date: 8/10/2015

Current Firm

AUCTUS ADVISORS LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AUCTUS ADVISORS LLC

TRUST BUT VERIFY

Similar Advisors