Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bruce? Claim Your ProfileBruce Knott is a financial professional with over 40 years of experience in the industry. Bruce has worked at several firms throughout his career, including The Robinson-Humphrey Company, LLC, Shearson Lehman Hutton Inc, and E. F. Hutton & Company Inc. Bruce is currently a Registered Representative at Wells Fargo Clearing Services, LLC, and has been with the firm since 2011. He is licensed to provide investment advice in several states across the United States.
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.
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.
Investment consulting services to institutional clients
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.
1
2
NC
10/22/2019 - Present
Wells Fargo Clearing Services, LLC (ROARING GAP NC)
NC
06/01/2009 - 04/21/2011
MORGAN STANLEY SMITH BARNEY (DURHAM NC)
NC
01/02/2002 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (DURHAM NC)
GA
02/05/1990 - 01/02/2002
THE ROBINSON-HUMPHREY COMPANY, LLC (ATLANTA GA)
NY
04/11/1988 - 02/09/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
11/01/1981 - 04/11/1988
E. F. HUTTON & COMPANY INC
IA
Issued 09/18/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/28/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/1981
Series 5 - Interest Rate Options Examination
BC
Issued 09/19/1981
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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