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Bruce Arthur Coburn

National Financial Services LLC

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About Bruce Arthur Coburn

Bruce Arthur Coburn is a financial professional with over 29 years of experience in the industry. Bruce has held a variety of roles at firms including Fidelity Brokerage Services LLC and Fidelity Investments Institutional Services Company, Inc. Bruce is currently registered with National Financial Services LLC and holds Series 6, 7, 9, 10, 14, 24, 63, and 66 licenses.

Firm Information

Bruce Coburn is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Bruce Coburn’s Registration & Firm History

KY

12/23/2020 - Present

National Financial Services LLC (COVINGTON KY)

KY

01/01/2008 - 12/07/2020

FIDELITY BROKERAGE SERVICES LLC (COVINGTON KY)

KY

08/01/2007 - 01/01/2008

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (COVINGTON KY)

OH

11/05/1993 - 02/13/2007

FIDELITY BROKERAGE SERVICES LLC (BLUE ASH OH)

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Licenses & Designations

BOTH

Issued 03/20/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/17/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/26/2007

Series 14 - Compliance Officer Examination

BC

Issued 05/27/1997

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/14/1996

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/08/1994

Series 7 - General Securities Representative Examination

BC

Issued 11/04/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Bruce Arthur Coburn.
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