John T. Bruce

CANTOR FITZGERALD INVESTMENT ADVISORS

New York, NY 10022

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CRD#: 846177

Professional summary

John Thomas Bruce is a registered financial advisor currently at CANTOR FITZGERALD INVESTMENT ADVISORS located in New York, New York.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. John has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Thomas Bruce'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 8, 2021 - Present

CANTOR FITZGERALD INVESTMENT ADVISORS

Office #1: 110 East 59th Street 7th Floor, New York, NY 10022

RIA

CRD#: 159296

New York, NY

Past

August 27, 1987 - July 7, 2021

FLIPPIN BRUCE & PORTER INC

RIA

CRD#: 105718

LYNCHBURG, 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".

CANTOR FITZGERALD INVESTMENT ADVISORS

CRD#: 159296 / SEC#: 801-72852

RIA

Registered Investment Advisory firm - (11/15/2011 Approved)

Delaware

Registered Investment Advisory firm - (5/22/2018 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

Virginia
(7/8/2021)

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: 3/29/1990

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/29/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/19/1977

General Securities Representative Examination

Current Firm

CANTOR FITZGERALD INVESTMENT ADVISORS

CRD#: 159296 / SEC#: 801-72852

RIA

Registered Investment Advisory firm - (11/15/2011 Approved)

Delaware

Registered Investment Advisory firm - (5/22/2018 Terminated)

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Contact information

Main Address

110 East 59th Street 7th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 915-1722

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CFIA ADV PART 2 & 2B 2025 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	1,286
AUM (Assets Under Management)	$ 2,384,816,869

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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John T. Bruce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Thomas Bruce's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANTOR FITZGERALD INVESTMENT ADVISORS

FLIPPIN BRUCE & PORTER INC

Primary Firm SEC Registration

CANTOR FITZGERALD INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 3/29/1990

Series 63

Date: 3/29/1990

Series 7

Date: 11/19/1977

Current Firm

CANTOR FITZGERALD INVESTMENT ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CANTOR FITZGERALD INVESTMENT ADVISORS

TRUST BUT VERIFY

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