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Douglas James Bruce

Ubs Financial Services Inc.

St Paul, MN

Weehawken, NJ

St Paul, MN

CRD 1505192

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-12-09
TX RA APPROVED_RES 2008-06-16
  • MN RA
    APPROVED
    Since 2013-12-09
  • TX RA
    APPROVED_RES
    Since 2008-06-16

Branch Locations

444 Cedar St, St Paul, MN 55101 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

444 Cedar St, St Paul, MN 55101-2108 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. St. Paul MN 03/1986 Present
Other Businesses

NORTHERN STAR COUNCIL / 393 MARSHALL AVE ST. PAUL,MN 55102 / EDUCATION / INVESTMENT COMMITTEE / MEET WITH COMMITTEE / START DATE 1/28/2015

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-09-21
S63 Uniform Securities Agent State Law Examination 1986-05-21
  • S65 Uniform Investment Adviser Law Examination
    1995-09-21
  • S63 Uniform Securities Agent State Law Examination
    1986-05-21
Other Names
  • Douglas J Bruce

View on SEC IAPD

Nearby Firms

CLEARWATER MANAGEMENT CO., INC.
FIDUCIARY COUNSELLING INC
MAIRS & POWER

Nearby Investors

HEATHER FITCH RADCLIFF
CHRISTOPHER J SCHWARTZ
JAMES P. SHAFER

Nearby Offices

CLEARWATER MANAGEMENT CO., INC. · ST PAUL, MN
FIDUCIARY COUNSELLING INC · ST PAUL, MN
MAIRS & POWER · ST. PAUL, MN

More in St Paul, MN

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