Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bruce? Claim Your ProfileBruce Chapman is a financial advisor with Wells Fargo Clearing Services, LLC and has been in the industry since February 14, 1997. Bruce has experience with a variety of firms including E*TRADE Securities LLC, Morgan Stanley DW Inc., Wells Fargo Investments, LLC, BANC ONE SECURITIES CORPORATION and Fidelity Brokerage Services LLC. Bruce has passed several FINRA and state exams, including the Series 6, 7, 63, 65, and 66. Bruce also holds a number of specializations, including investment management, retirement planning and financial planning for individuals and businesses.
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
UT
12/06/2017 - Present
Wells Fargo Clearing Services, LLC (SALT LAKE CITY UT)
UT
09/19/2006 - 08/04/2017
E*TRADE SECURITIES LLC (SANDY UT)
UT
11/16/2005 - 03/29/2006
MORGAN STANLEY DW INC. (WEST VALLEY UT)
CA
08/04/2003 - 11/01/2005
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
IL
05/28/2003 - 07/30/2003
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
RI
08/05/1996 - 10/28/2002
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
GA
08/22/1995 - 07/16/1996
WMA SECURITIES, INC. (DULUTH GA)
BOTH
Issued 02/20/2009
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/29/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/22/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/1996
Series 7 - General Securities Representative Examination
BC
Issued 08/21/1995
Series 6 - Investment Company Products/Variable Contracts 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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