Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bruce? Claim Your ProfileBruce Philip McGaugh is an investment advisor representative and has been in the industry since May 29, 1984. Bruce is currently registered with Ameriprise Financial Services, LLC in Houston, Texas and is licensed to provide financial advice in several states. Bruce has a wide range of experience working with various clients including high-net-worth individuals, corporations, charitable organizations, trusts and estates, as well as pension and profit sharing plans. Bruce holds both Series 7 and Series 63 licenses and has a proven track record of providing clients with tailored financial solutions.
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.
Asset allocation 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.
A percentage of the total value of assets under management is charged.
1
2
TX
10/14/2011 - Present
Ameriprise Financial Services, LLC (HOUSTON TX)
TX
06/24/2005 - 10/20/2011
RBC CAPITAL MARKETS, LLC (HOUSTON TX)
NJ
08/14/2000 - 07/08/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
01/26/1998 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
TX
08/03/1990 - 02/09/1998
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
NY
01/25/1988 - 08/03/1990
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
04/18/1986 - 02/10/1988
OPPENHEIMER & CO., INC.
NA
12/11/1984 - 05/02/1986
UNDERWOOD, NEUHAUS & CO., INCORPORATED
NA
05/30/1984 - 12/13/1984
J. MILTON NEWTON, INCORPORATED
IA
Issued 08/08/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/13/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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