JB
JB
John Bruzzone
42 Years of Experience
Walnut Creek, CA
1 DisclosureBroker
John Bruzzone is a registered investment advisor at UBS Financial Services INC., based in Walnut Creek, CA, with 42 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9356 advisors
IM Fee
Planning only
Assets Under Management
$915.8B
Fee Structure
Investment management only (planning not offered)
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
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Location
1255 Treat Blvd, Suite 1000, Walnut Creek, CA, 94597
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2006Denied
Other Business Activities
John is a partner in Angus Ranch, involved in basic animal care. This requires minimal time.
Employment History
Current Registrations
UBS Financial Services INC.Broker
February 2015 - Present · 11 yrs 8 mos
UBS Financial Services INC.
February 2015 - Present · 11 yrs 8 mos
Previous Registrations
Morgan Stanley
June 2009 - March 2015 · 5 yrs 9 mos
Morgan StanleyBroker
June 2009 - March 2015 · 5 yrs 9 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
July 1997 - April 2007 · 9 yrs 9 mos
Morgan Stanley Dw INC.Broker
June 1984 - April 2007 · 22 yrs 10 mos
State Registrations22 states
ARAZCACOCTGAHIIDKSLAMIMNNCNMNVNYORSCTXUTWAWV
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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