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Douglas James Bruce

Ubs Financial Services Inc.

St Paul, MN

Weehawken, NJ

St Paul, MN

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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

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Other Investors

HEATHER FITCH RADCLIFF
CHRISTOPHER J SCHWARTZ
JAMES P. SHAFER
MICHAEL BRIAN BLOCK
Kathryn Marie Viste
Creighton Silvain
Thomas Running
MICHAEL JON FISCHER

Other Offices

CLEARWATER MANAGEMENT CO., INC. · ST PAUL, MN
FIDUCIARY COUNSELLING INC · ST PAUL, MN
MAIRS & POWER · ST. PAUL, MN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAINT PAUL, MN
HILLTOP SECURITIES INC. · St. Paul, MN
WELLS FARGO CLEARING SERVICES, LLC · SAINT PAUL, MN
CAPTRUST · ST. PAUL, MN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SAINT PAUL, MN

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