Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bruce? Claim Your ProfileBruce Sanford Roby is a financial advisor with LPL Financial LLC. Bruce has been in the financial services industry for over 10 years and has a strong track record of success. Bruce is committed to helping his clients achieve their financial goals and is dedicated to providing personalized service. Bruce is registered with the state of Ohio as a Registered Investment Advisor and a Registered Representative. Bruce also holds the Series 6, 7, 63 and 65 licenses as well as the SIE designation. Bruce's previous employment history includes Fifth Third Securities, Chase Investment Services Corp., Natcity Investments, Inc., and NYLife Securities Inc. Bruce offers a variety of financial services, including financial planning, portfolio management, and investment advice. Bruce is committed to helping clients achieve their financial goals and is dedicated to providing personalized service.
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.
Consulting and other non-discretionary advisory 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
03/28/2023 - Present
LPL Financial LLC (SAN DIEGO CA)
OH
06/04/2019 - 06/03/2021
LPL FINANCIAL LLC (NEWARK OH)
OH
09/26/2016 - 02/16/2017
LPL FINANCIAL LLC (DELAWARE OH)
OH
07/12/2010 - 04/18/2016
FIFTH THIRD SECURITIES, INC. (WESTERVILLE OH)
OH
09/22/2008 - 07/08/2010
CHASE INVESTMENT SERVICES CORP. (DUBLIN OH)
OH
03/03/2006 - 09/04/2008
NATCITY INVESTMENTS, INC. (DELAWARE OH)
NY
08/04/2005 - 02/23/2006
NYLIFE SECURITIES INC. (NEW YORK NY)
IA
Issued 10/16/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/07/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/16/2017
SIE - Securities Industry Essentials Examination
BC
Issued 10/02/2008
Series 7 - General Securities Representative Examination
BC
Issued 08/02/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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