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Bruce Goldman

Charles Schwab & CO., INC.
39 Years of Experience
Somerset, NJ
7 DisclosuresBroker
View SEC Summary
View SEC Summary

Bruce Goldman is a registered investment advisor at Charles Schwab & CO., INC., based in Somerset, NJ, with 39 years of industry experience. Bruce 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.

Charles Schwab & CO., INC.
Compensation
Fixed/Hourly
Firm Size
8406 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified

Fee Structure

Planning is included in investment management
Minimum Annual Fee:$4,000
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M0.80%
$1.0M - $2.0M0.75%
$2.0M - $5.0M0.70%
$5.0M - $10.0M0.50%
$10.0M - $25.0M0.30%
$25M+0.30%

Fees for assets over $25 million are negotiable. A grandfathered schedule exists for clients enrolled prior to October 1, 2024.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Somerset, NJ

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History

Regulatory History (7)
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
March 2010
Settled
Customer Dispute
October 2009
Settled
Customer Dispute
July 2009
Denied
Customer Dispute
May 2009
Settled
Customer Dispute
January 2009
Settled
Customer Dispute
September 2008
Denied
Customer Dispute
June 2008
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Charles Schwab & CO., INC.Broker
August 2005 - Present · 21 yrs 2 mos
Charles Schwab & CO., INC.
August 2005 - Present · 21 yrs 2 mos
Charles Schwab & CO., INC.
August 2005 - Present · 21 yrs 2 mos
Previous Registrations
Charles Schwab & CO., INC.
May 2002 - January 2005 · 2 yrs 8 mos
Charles Schwab & CO., INC.Broker
August 2000 - January 2005 · 4 yrs 5 mos
AXA Advisors, LLCBroker
June 1998 - August 2000 · 2 yrs 2 mos
The Equitable Life Assurance Society of the United StatesBroker
June 1998 - January 2000 · 1 yr 7 mos
Garban LLCBroker
July 1996 - April 1998 · 1 yr 9 mos
Citicorp Securities, INC.Broker
May 1986 - November 1996 · 10 yrs 6 mos
State Registrations47 states
AKALARAZCACOCTDCDEFLGAIAIDILINKSKYLAMAMDMEMIMNMSNCNDNHNJNMNVNYOKORPAPRRISCSDTNTXVAVTVirgin IslandsWAWIWVWY
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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