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T. Bruce Nelson

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Alpharetta, GACRD #1195254Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
37 yrs
States Registered
23 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 23 states
AlabamaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIllinoisIndianaKentuckyMassachusettsMississippiNew HampshireNew JerseyNew YorkNorth CarolinaOhioPennsylvaniaSouth CarolinaTennesseeTexasVirginiaWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 11/12/1992
Series 63
Uniform Securities Agent State Law Examination
Passed 3/18/1992
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 3/10/1992
Series 3
National Commodity Futures Examination
Passed 9/23/1987
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 9/23/1983

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
10/13/2001Alpharetta, GA
SALOMON SMITH BARNEY INC.
10/4/199310/4/2001New York, NY
PRUDENTIAL SECURITIES INCORPORATED
3/11/19928/20/1993New York, NY
INTERSTATE/JOHNSON LANE CORPORATION
10/14/198811/26/1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
3/7/198810/14/1988
SHEARSON LEHMAN HUTTON INC.
9/26/19862/17/1988
FIRST INVESTORS CORPORATION
9/26/19835/29/1984

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. T. Bruce Nelson has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

T. Bruce Nelson - Financial Advisor in Alpharetta, GA | AdvisorFinder