Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bruce? Claim Your ProfileBruce Balter is a financial advisor with over 40 years of experience in the industry. Bruce currently works at UBS Financial Services Inc. Prior to UBS, Bruce was with Morgan Stanley, where he was a registered representative and financial advisor from June 2009 through October 2022. Prior to Morgan Stanley, Bruce was with Citigroup Global Markets Inc. where he was a financial advisor from March 2002 to June 2009. Bruce holds the Series 63, Series 65, and Series 7TO registrations and is licensed in several states, including Florida and Texas. Bruce has a strong background in financial planning and portfolio management and is dedicated to helping individuals and families reach their financial goals.
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
MA
09/29/2022 - Present
UBS Financial Services Inc. (BOSTON MA)
MA
06/01/2009 - 10/18/2022
MORGAN STANLEY (Boston MA)
MA
03/08/2002 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BOSTON MA)
NJ
01/31/1980 - 03/21/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
IA
Issued 02/05/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/20/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/1977
PC - AMEX Put and Call Exam
BC
Issued 12/21/1962
Series 1 - Registered 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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