Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Randy? Claim Your ProfileRandy Bruns is a financial advisor in the Chicago area. Randy has been a Registered Representative for over 16 years. Randy has passed the Series 3, Series 7 and Series 66 exams. Randy is currently registered with UBS Financial Services Inc. and has previously worked at MORGAN STANLEY SMITH BARNEY, CITIGROUP GLOBAL MARKETS INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and UBS FINANCIAL SERVICES INC. Randy provides financial planning, pension consulting, educational seminars, security ratings, portfolio management for businesses, and portfolio management for individuals.
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
IL
11/04/2011 - Present
UBS Financial Services Inc. (CHICAGO IL)
IL
06/01/2009 - 11/09/2011
MORGAN STANLEY SMITH BARNEY (CHICAGO IL)
IL
10/22/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CHICAGO IL)
IL
08/16/2007 - 07/08/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHICAGO IL)
IL
11/22/2006 - 07/19/2007
UBS FINANCIAL SERVICES INC. (CHICAGO IL)
BOTH
Issued 01/10/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2009
Series 3 - National Commodity Futures Examination
BC
Issued 11/21/2006
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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