Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bruce? Claim Your ProfileBruce Wain is an investment advisor representative with UBS Financial Services Inc. He is registered with the state of Minnesota, New Jersey, Texas and Wisconsin. Bruce has been in the securities industry since 1996, and has prior experience with Ameriprise Financial Services, Inc., Morgan Stanley, Morgan Stanley & Co. Incorporated, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Bruce has Series 3, 7, 9, 10, 63 and 65 securities licenses. UBS Financial Services Inc. manages more than $50 billion in assets for over 21,000 clients. The firm provides a range of investment advisory services, including financial planning, pension consulting, educational seminars, and portfolio management for individuals and businesses.
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.
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.
See schedule d - miscellaneous
1
2
MN
03/28/2024 - Present
UBS Financial Services Inc. (MINNEAPOLIS MN)
MN
02/05/2013 - 08/01/2014
AMERIPRISE FINANCIAL SERVICES, INC. (EDINA MN)
MN
06/01/2009 - 02/25/2013
MORGAN STANLEY (MINNEAPOLIS MN)
MN
08/29/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (MINNEAPOLIS MN)
MN
03/17/2000 - 09/16/2008
UBS FINANCIAL SERVICES INC. (MINNEAPOLIS MN)
NY
05/08/1996 - 03/23/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 06/05/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/17/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/10/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/10/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/2005
Series 3 - National Commodity Futures Examination
BC
Issued 05/07/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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