BB
Bruce A. Bouta
SB ADVISORY
Eden Prairie, MN 55344
Some features on this profile are disabled
CRD#: 801450
BB
Professional summary
Bruce Alfred Bouta is a registered financial advisor currently at SB ADVISORY, LLC located in Eden Prairie, Minnesota and SAN BLAS SECURITIES LLC located in Chicago, Illinois.
Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Bruce has worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 1, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.Bruce A. Bouta, attorney and Consultant, not investment related, Eden Prairie, MN, S-Corp., Owner/Attorney; 10/1986, 10 hours per month, 2 hours per week during trading hours, business continuation planning, estate planning, probate and drafting related documents. 2.Brokers Choice, investment related, Eden Prairie, MN, C-Corp owned 100% by S-Corp., Owner, 12/1999, 40 hours per month, 6 hours per week during trading hours, from 199-2016 Brokers Choice operated as a brokerage general agency for fixed insurance products, since 2017 I no longer deal with independent insurance brokers and only use this entity for personal sales of fixed life insurance, disability, long term care and annuity business, as a independent producer with several insurance carriers. 3.Great Lake Pension Consultants, DBA of an S-Corp., investment related, Eden Prairie, MN, President, 2/1988, 30 hours per month, 3 hours per week during trading hours, advise retirement plan sponsors on compliance matters, investment screening and selection and overall plan design. 4. SB Advisory, LLC, formerly known as IFS Advisory, LLC, Investment Related, Atlanta, GA, IAR, 6/2019, 60 hours per month, 50 hours during trading hours, review and monitor accounts, maintain regular ongoing contact with clients, review and update suitability profile as appropriate, recommend changes in account positions and allocations as appropriate.
CRS (Client Relationship Summary) - RIA
Click below to view Bruce Alfred Bouta'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
January 13, 2021 - Present
SB ADVISORY, LLC
Office #1: 6542 Regency Lane Suite 212, Eden Prairie, MN 55344RIA
CRD#: 154680
Eden Prairie, MN
Current
May 17, 2021 - Present
SAN BLAS SECURITIES LLC
Office #1: 233 S Wacker Dr Suite 4400, Chicago, IL 60606BD
CRD#: 290605
CHICAGO, IL
Past
September 27, 2019 - May 10, 2021
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
Eden Prairie, MN
Past
June 14, 2019 - December 31, 2020
SB ADVISORY, LLC
RIA
CRD#: 154680
Eden Prairie, MN
Past
June 14, 2019 - October 10, 2019
IFS SECURITIES
BD
CRD#: 40375
ATLANTA, GA
Past
January 8, 2014 - June 6, 2019
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EDEN PRAIRIE, MN
Past
September 3, 2013 - June 6, 2019
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EDEN PRAIRIE, MN
Past
January 24, 1996 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EDEN PRAIRIE, MN
Past
September 24, 1990 - December 31, 1993
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
March 18, 1988 - May 11, 1989
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
Past
April 30, 1982 - December 31, 1988
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
December 2, 1974 - April 4, 1988
OSAIC FA, INC.
BD
CRD#: 3978
Past
December 2, 1974 - December 31, 1988
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
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".
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)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
Kansas(2/21/2025)
IAR
Minnesota(1/13/2021)
RR
Minnesota(5/18/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/21/1974
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3424 Peachtree Road Ne Suite 2200, Atlanta, GA 30326-1184
Mailing Address
Phone number
(404) 704-0406
Established
Firm type
Fiscal year end
# of Employees
29
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,540 |
| AUM (Assets Under Management) | $ 404,771,341 |
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.
