Home  >  BrightScope Advisor Pages  >  David Francis Brochu

David Francis Brochu

Is this you? (Click to claim profile)
Contact Advisor

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 10 years and is subject to SEC oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Kleossum, Inc. 4 years, 1 month 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, 9 months Nov 2000 - Present
Financial Strategies, Inc. 23 years 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
06/24/2013
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

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Other: PERCENTAGE UNDER ADVISEMENT