Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bruce? Claim Your ProfileBruce Lin is a financial advisor with over 30 years of experience in the industry. Lin has a Series 7, Series 3, and Series 65 licenses and has been registered with UBS Financial Services Inc. since October 2022. Prior to that, Bruce Lin was a financial advisor at Wells Fargo Advisors, LLC from 2014 to 2022, and prior to that with Wells Fargo Clearing Services, LLC. Bruce Lin has also worked at several other firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc, Morgan Stanley DW Inc, Bear, Stearns & Co. Inc and A. G. Edwards & Sons, Inc. Bruce Lin provides financial advice to individuals, businesses, corporations, and high-net-worth individuals. Lin is registered with the Securities and Exchange Commission (SEC) and with various state regulators.
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
CA
10/24/2022 - Present
UBS Financial Services Inc. (Danville CA)
CA
08/29/2014 - 10/28/2022
WELLS FARGO CLEARING SERVICES, LLC (SAN FRANCISCO CA)
CA
10/29/2008 - 09/26/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
04/26/2005 - 11/12/2008
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
NY
01/28/2000 - 04/25/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
07/26/1996 - 02/02/2000
BEAR, STEARNS & CO. INC. (NEW YORK NY)
MO
09/01/1992 - 07/31/1996
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
IA
Issued 09/10/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/16/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/1998
Series 3 - National Commodity Futures Examination
BC
Issued 08/28/1992
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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