Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bruce? Claim Your ProfileBruce Charles Mogen is an investment advisor representative who has been in the industry since September 2003. Bruce is currently registered with LPL Financial LLC and has been with the firm since July 2022. Bruce has previously been registered with Raymond James Financial Services, Inc., Fintegra, LLC, and AXA Advisors, LLC. Bruce is licensed to provide investment advice in 18 states, including South Dakota, Iowa, Arizona, California, Colorado, Florida, Kansas, Minnesota, Montana, Nebraska, Nevada, New Mexico, New York, North Dakota, Pennsylvania, Washington, and South Dakota.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
SD
08/01/2022 - Present
LPL Financial LLC (Rapid City SD)
SD
11/01/2012 - 07/26/2022
RAYMOND JAMES FINANCIAL SERVICES, INC. (DELL RAPIDS SD)
SD
01/07/2009 - 10/31/2012
FINTEGRA, LLC (SIOUX FALLS SD)
SD
09/16/2003 - 01/09/2009
AXA ADVISORS, LLC (SIOUX FALLS SD)
IA
Issued 12/13/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/30/2004
Series 7 - General Securities Representative Examination
BC
Issued 09/15/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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