Bruce M. Yates

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CRD#: 874023

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Bruce Martin Yates was a registered financial professional .

Bruce is a previously registered financial professional and started their career in finance in 1979. Bruce had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Biography

For most of my 44-year wealth management career, I have been a fiduciary for Registered Investment Advisors. In 1984, I founded Seattle-based Appropriate Balance Financial Services, Inc. In 2017, we merged with Viridian Advisors, another Seattle-area RIA, and in 2021 the combined firm joined Edelman Financial Engines. I find my work endlessly challenging and rewarding – helping families build wealth, afford the retirement lifestyle they desire, and leave lasting legacies. Today, I work with many of my early clients’ children and even grandchildren. Meanwhile, I am writing a book, tentatively titled Get a Grip: Take Control of Your Financial Life NOW. My leisure passion is underwater photography. I live near Seattle with my wife, Cheri, and our two dogs.

Question & Answer

Are you a "fiduciary"?

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)Underwater Reflections; INVESTMENT RELATED: No; ADDRESS: Medina, WA 98039; NATURE: This is my photography business (sole proprietorship); POSITION: Sole proprietor and only employee; START DATE: 01/01/2001; NUMBER OF HOURS/MONTH: 02 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0 Hrs.; DUTIES: Minimal. Occasionally take photos (mostly underwater), post photos on website, occasionally get revenue from print sales. 2)Author; INVESTMENT RELATED: No; ADDRESS: Medina, WA 98039; NATURE: I am currently writing a book on finance and investing. Likely publishing date - sometime in 2022.; POSITION: Writer; START DATE: 01/01/2017; NUMBER OF HOURS/MONTH: 10 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0 Hrs.; DUTIES: Write and edit book, then self-publish (probably on Amazon.com).

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Education

Brigham Young University

Experience

Past

March 25, 2022 - February 21, 2025

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

BOTHELL, WA

Past

September 5, 2017 - May 6, 2022

VIRIDIAN RIA, LLC

RIA

CRD#: 171332

BOTHELL, WA

Past

November 1, 2013 - December 7, 2015

PRIVATE CLIENT SERVICES, LLC

RIA

CRD#: 120222

BELLEVUE, WA

Past

November 1, 2013 - December 22, 2016

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

BELLEVUE, WA

Past

April 2, 2012 - September 30, 2013

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BELLEVUE, WA

Past

September 19, 1990 - February 14, 2012

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

BELLEVUE, WA

Past

March 31, 1989 - September 18, 1990

VANGUARD CAPITAL

CRD#: 22081

DEL MAR, CA

Past

November 6, 1986 - April 12, 1989

PFG SECURITIES, INC.

CRD#: 15401

Past

December 12, 1984 - February 22, 2018

APPROPRIATE BALANCE FINANCIAL SERVICES INC

RIA

CRD#: 105458

BELLEVUE, WA

Past

September 4, 1984 - November 20, 1986

FSC SECURITIES CORPORATION

CRD#: 7461

Past

August 3, 1982 - September 12, 1984

FOSTER & MARSHALL INC.

CRD#: 321

Past

November 23, 1979 - August 9, 1982

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/14/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/27/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/22/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/15/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/17/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/15/1985

General Securities Principal Examination

Current Firm

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

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Contact information

Main Address

3945 Freedom Circle, Santa Clara, CA 95054

Mailing Address

Phone number

(800) 601-5957

Established

Firm type

Fiscal year end

# of Employees

1,616

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EFE_ADV_PART_2A_03.31.2025 (3/31/2025)

EFE_WRAP_FEE_BROCHURE_03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,552,934
AUM (Assets Under Management)	$ 292,902,969,770

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Bruce M. Yates

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Education

Brigham Young University

Experience

VIRIDIAN RIA, LLC

PRIVATE CLIENT SERVICES, LLC

PRIVATE CLIENT SERVICES, LLC

SIGNATOR FINANCIAL SERVICES, INC.

PACIFIC WEST SECURITIES, INC.

VANGUARD CAPITAL

PFG SECURITIES, INC.

APPROPRIATE BALANCE FINANCIAL SERVICES INC

FSC SECURITIES CORPORATION

FOSTER & MARSHALL INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

EDELMAN FINANCIAL ENGINES

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/1995

Series 63

Date: 4/27/1983

SIE

Date: 12/22/2016

Series 3

Date: 8/15/1983

Series 7

Date: 11/17/1979

Series 24

Date: 1/15/1985

Current Firm

EDELMAN FINANCIAL ENGINES

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EDELMAN FINANCIAL ENGINES

TRUST BUT VERIFY

Contact information

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