Bruce Upham, financial advisor Austin TX
93 score

Bruce Upham

CRD Number: 3136849
Current Firm: Mml Investors Services, LLC

Bruce Upham (CRD# 3136849) is an Investment Advisor Representative working at Mml Investors Services, LLC in Austin, TX and has over 17 years of experience in the finance industry.

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Company Name Location Dates Years
Massmutual Financial Group Austin, TX Feb 2009 - Current 7
Mml Investors Services, Inc. Austin, TX Feb 2009 - Current 7
Valic Houston, TX Oct 2000 - Feb 2009 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1999
S66 NASAA Uniform Combined State Law Examination Aug 2001
Contact Info for Bruce D. Upham
Phone Number: (413)737-8400
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    666
    MILLIONS
  • Total Number of Accounts
    3,874
    ACCOUNTS
  • Average Account Value
    $171,955
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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