Bruce has more than 35 years of experience in the financial services industry with significant expertise in financial institution third-party brokerage arrangements. Bruce is the founder and CEO of Financial Resources Group Investment Services.
Prior to his current position, Bruce served as President of the company from 2010 - 2021. Bruce founded the organization in 2010 with a “commitment to serve” and is dedicated to supporting our financial advisors, registered with LPL Financial as their broker-dealer. Leading a team of professionals who provide our advisors with customized services, the company quickly made a name for itself within the first year with $6.6B in AUM and 20 financial institution partners. Today, the organization had grown to having more than $37B in assets (brokerage & advisory) and over $200M in total revenue (2021) and supports over 90 financial institutions with over 1K affiliated professionals, making Financial Resources Group Investment Services the largest enterprise of LPL Financial by assets, total revenue and affiliated professionals. In June 2022, Bruce was named one of Charlotte’s Most Admired CEOs by the Charlotte Business Journal.
Prior to forming Financial Resources Group Investment Services, Bruce served as Executive Vice President of strategic accounts at LPL Financial; National Director of Sales at Independent Financial Marketing Group; National Sales Manager at PrimeVest Financial Services; President of Compulife Investor Services, and President of the investment/insurance subdivision for Great American Bank and First Interstate Bank of Arizona.
Bruce and his wife Ann have been married over 40 years and together have three children, three grandchildren and more on the way! He is dedicated to supporting local charities targeting hunger and environmental causes. Bruce enjoys boating, golf, classic cars and spending time with his family.
Steve joined Financial Resources Group Investment Services in May 2021 where he serves as President of the organization. His responsibilities include overseeing the company’s day-to-day operations and supervising more than 90 financial institutions and 1000 financial professionals nationwide.
Prior to joining Financial Resources Group, Steve served as Chief Operating Officer for Equitable Advisors LLC and Equitable Network LLC where he led the business and functional strategy for all company advisor-facing and back-office clearing and vendor firm operations. Additionally, Steve worked for 13 years as Executive Vice President of Operations for LPL Financial where he led LPL’s initial expansion to the Charlotte area. He was responsible for all on-shore and off-shore operations both client-facing and street-side, along with vendor management associated with such areas as tax reporting, statement and confirm production, and money movement.
Steve has extensive experience in mergers and acquisitions and recruiting, having led and supported LPL’s broker dealer acquisitions and conversions and dozens of bank and credit union transitions. Prior to LPL Financial, Steve spent seven years at Jefferson Pilot Securities Corporation as a senior manager with oversight of trading, brokerage services, and broker/dealer operations in conjunction with its clearing firm Pershing LLC.
Additionally, Steve was Chairman of the Board of Directors for The Private Trust Company, on the board of the Executive BETA Users Committee, and was the executive sponsor for LPL Financial’s involvement with Big Brothers Big Sisters of Greater Charlotte.
Steve is happily married to his wife Kim of 30 years and together they have two fantastic kids, Aiden and Collin. He loves traveling with his family and is a self-proclaimed Boston sports nut. If he’s not at work, you’ll most likely find him on a golf course.
Warren Bausert, CFP®, ChFC®, has more than 30 years of experience in the bank investment & insurance industry. Warren leads a team of nearly 50 advisors, management and staff, and more than 25 licensed bankers who collectively have more than $4 billion in assets under advisement at Sterling Wealth Services. Prior to becoming a Business Consultant, Warren was the Associate Program Director and Sales Manager at LPL Financial located at Astoria Bank. He also served as Program Manager of Greater Investment Services before it was acquired by Astoria Bank in 1997. Warren became a registered representative in 1986 and joined The Dime Savings Bank of NY as a Financial Consultant in October 1987, one week to the day after Black Monday.
Warren believes that trust develops during the profiling process when the advisor connects with clients and learns what is important to them and why. He also believes we don’t help clients unless we get them to act on our advice. The most important determinant to a client’s long-term financial success is what they do, not what they know or think. The best advisors are the ones who help clients make better decisions and strive to avoid critical mistakes at the worst times.
FINRA Series 7, 24, 63, and 66 securities registrations as well as Life and Health Insurance licenses. Securities registrations held with LPL Financial and Financial Resources Group Investment Services.
Matt has more than 35 years in the financial services industry. He is currently a business consultant at Webster Investments, formerly Sterling Wealth Services at Sterling National Bank. Prior to becoming a business consultant, he held various sales management positions and began his career as a financial consultant.
Matt enjoys being in a position where he can help experienced financial consultants grow their businesses. Additionally, he appreciates creating career paths for licensed sales assistants and associate financial consultants to become financial consultants.
In his free time, Matt and his wife enjoy spending time with their five grandchildren. He is a big baseball fan and enjoys pulling for the Mets. Matt likes traveling to Europe and his favorite destination is Aruba, where he and his family take an annual two-week vacation visiting this tropical island. Additionally, Matt began taking up both golf and ballroom dancing, but unfortunately wasn’t good at either one.
Christa Franse is one of the owners of Financial Resources Group Investment Services, where she specifically manages the onboarding and human resources & teams.
Christa works to bring new employees, representatives, and support personnel onboard and registered with LPL Financial, where necessary. Christa believes that taking the time to truly understand each person’s goals and objectives is crucial in setting them up for success.
Christa grew up in South Barrington, a suburb of Chicago, but was drawn to the Southeast temperatures. She graduated from University of North Carolina – Charlotte and lives in Fort Mill, S.C. with her husband, Brad, and two children; Brayden, 16 and Alexa, 12. Both children are sports-oriented and competitive, so Christa typically spends her free time at the baseball or softball fields, cheering them on.
J.J. Hudock’s business-to-business sales experience extends over 25 years, with 20 of them specifically focused in the broker-dealer space. As Director of Business Development, J.J.’s main focus is cultivating new relationships with banks, credit unions and independent offices. J.J. has played an instrumental role in the company’s growth and helping it become LPL Financial’s largest enterprise*.
Prior to joining Financial Resources Group Investment Services, he began his financial services career at UVEST Financial Services, a bank-based broker-dealer in Charlotte, N.C. He later transitioned to LPL Financial as Vice President of Business Development in the institution channel. From 2009 – 2018, J.J. led the business development team at Investment Centers of America and returned back to LPL Financial via Financial Resources Group Investment Services serving in his current role.
J.J. enjoys playing basketball and received a scholarship at George Washington University. If you don’t see him on the courts, you may find him hiking or traveling.
*Based on assets (brokerage and advisory), total revenue and affiliated professionals as of December 2021.
Laura has over 25 years of experience in the accounting industry, she brings a wealth of corporate business knowledge to our team. Laura joined the firm in June of 2015 as Controller and her role quickly evolved as the firm grew. In 2022, Laura became the company’s CFO and has provided the FINOP services since 2019.
Laura’s current role includes all functions of running a business; accounting and forecasting, general insurance, health benefits, creating, documenting, and implementing office policies, financial reporting internally and externally, managing external audits, overseeing the commissions and payroll functions, and most importantly leading the firm’s finance team.
Laura is fulfilled when helping others work toward achieving their goals or guiding others down a path that will help them pursue success. Laura enjoys going the extra mile for a business liaison or for personal physical achievement. Laura encourages a collaborative team driven environment.
After graduating from State University of New York at Albany, Laura became a certified public accountant (CPA). She started her career with a public accounting firm in New York, Shandling and Landsman, LLC. She went on to work for both public and private companies, Andersen Consulting, LLC, ACTV, Inc. Additionally, Laura worked for Ernst & Young in Grand Cayman, Cayman Islands. At Ernst & Young, Laura was responsible for auditing hedge funds, banks, and insurance companies. Following her tenure in the Cayman Islands, Laura worked as accounting manager for the Segal Company. During this time, she obtained her MBA from Monmouth University in New Jersey.
Laura is the proud mother of her son Nolan and a daughter Shayla that she shares with husband Dave. Laura is active with her family in her free time. She loves soccer, biking, enjoys baking, and any outdoor activities with her family and friends.
Chris Thompson has over 25 years of investment sales experience. In 1992, he started up and managed an office of 15 independent advisors, which he ultimately sold to a Michigan bank. In 2002, he worked at Citizens Bank headquartered in Flint, MI, (now Huntington Bank) as a financial advisor and was the top advisor in the financial services program and subsequently placed in the top 20 for the broker/dealer Financial Network Investment Corp. In 2005, he became the program manager for Citizens Bank, overseeing investments and trust sales. Chris joined LPL Financial as Vice President of Business Consulting in 2011. During the spring of 2013, he transitioned to serve as a business consultant for Financial Resources Group Investment Services. In 2018, he became one of the co-owners.
Chris excels as a sales growth advocate with a strong understanding of key metrics such as wallet share and product mix along with focus on advisor activities that combine to help drive desired results and a positive client experience.
FINRA Series 7, 24, and 63 securities registrations as well as Life and Health Insurance licenses. Securities registrations held with LPL Financial and Financial Resources Group Investment Services.
David Rich’s 20+ years in the investment services industry has given him a unique perspective of the financial markets. Throughout his career, David has held several senior level positions such as Vice President of Investments, OSJ Owner and Principal, and Chief Operating Officer. During that time, he developed an in-depth understanding of complex concepts like regulatory compliance, policy and procedure, process improvement, and risk analysis/management.
Prior to joining Financial Resources Group Investment Services as Chief Compliance Officer, David was the Chief Supervisory Officer for both National Securities Corp. and National Asset Management, Inc. David earned a Bachelor of Arts degree in history with a minor in political science from Arizona State University.
When not at work, David loves spending time with his wife and three children and is an animal lover. He and his family have a dog and two cats. Additionally, David enjoys live music, playing golf and competes in multiple mens softball leagues.
Mark Stieve has over 35 years of experience in the financial services industry. Majoring in finance, he attended Delta College and Saginaw Valley State University in Michigan. Afterward, he completed his Trust I, II and III certifications from the Cannon Financial Institute.
Employed in the financial services industry since 1985, he has held many roles advancing from financial advisor and program manager to president of a trust and wealth management firm. Before coming onboard at Financial Resources Group Investment Services in 2012, he served as the Vice President of Business Development for LPL Financial for five years.
FINRA Series 7, 24, and 63 with LPL Financial and Financial Resources Group Investment Services.
Securities and advisory services offered through LPL Financial, a Registered Investment Advisor, member FINRA/SIPC. Financial Resources Group Investment Services, member FINRA/SIPC, is a separate entity. To view our Business Continuity Plan Disclosure, please click HERE.