Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bruce? Claim Your ProfileBruce Baumgarten is a financial advisor with J.P. Morgan Securities LLC, a firm based in New York, NY. Bruce has been in the industry since 1974 and has a wide range of experience in financial services. He is registered with FINRA and has a Series 7, Series 10, Series 9, Series 52, Series 53 and Series 63 license. Bruce provides financial planning and investment advice to individuals, businesses, and institutions.
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.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NJ
11/05/2014 - Present
J.p. Morgan Securities LLC (Morristown NJ)
NY
03/09/2002 - 12/01/2005
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MA
09/01/1999 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NJ
04/20/1979 - 09/01/1999
GIBRALTAR SECURITIES CO. (FLORHAM PARK NJ)
NA
05/31/1978 - 11/30/1979
NORTHFIELD INVESTMENTS INC.
NA
04/17/1978 - 10/02/1979
HAMILTON/COOKE & CO. OF FLORIDA, INC.
NA
01/06/1977 - 03/01/1979
HAMILTON/COOKE & CO., INC.
NA
07/15/1976 - 01/06/1977
COOGAN, GILBERT & CO., INC.
NA
06/08/1970 - 03/03/1972
HOWARD LAWRENCE & CO., INC.
IA
Issued 6/17/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/18/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 1/2/2023
Series 24 - General Securities Principal Examination
BC
Issued 4/28/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 2/28/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/30/1976
Series 40 - Registered Principal Examination
BC
Issued 1/2/2023
Series 7TO - General Securities Representative Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/28/1970
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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