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David Francis Brochu

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Information

Firm:
Kleossum, Inc.
President, Chief Compliance Officer
Type: RIA
Description

David Brochu is an executive and is sole owner of Kleossum, Inc., a $35M RIA based in Conway, NH. David has held an industry securities registration for 7 years and is subject to SEC oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Kleossum, Inc. 4 years, 3 months Jun 2010 - Present
Strategic Point Securities, LLC 7 years, 1 month May 2003 - Jun 2010
Strategic Point Investment Advisors, LLC 7 years, 5 months Jan 2003 - Jun 2010
Strategic Point Retirement Plan Services LLC 3 years, 11 months Jan 2003 - Dec 2006
Strategic Point Insurance Services 7 years, 6 months Dec 2002 - Jun 2010
Progressive Financial Strategies LLC 13 years, 10 months Nov 2000 - Present
Financial Strategies Inc. 23 years, 1 month Aug 1991 - Present
Exams
ExamSeriesPassed Date
Financial and Operations Principal ExaminationSeries 27 03/17/2003
Uniform Investment Adviser Law ExaminationSeries 65 06/10/1997
General Securities Principal ExaminationSeries 24 04/06/1992
Uniform Securities Agent State Law ExaminationSeries 63 02/22/1991
General Securities Representative ExaminationSeries 7 01/17/1991

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

David Francis Brochu has not answered any questions on Financial Q&A.

Top Guides

David Francis Brochu has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Not registered
Disclosures

1 Regulatory Event

1 Regulatory Event

As of Date
09/07/2014
11/05/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Other: PERCENTAGE UNDER ADVISEMENT