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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 10 years and is subject to SEC oversight.

BrightScope Advisor Metrics

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.

Experience and Employment History

Employer Years Dates
Kleossum, Inc. 3 years, 10 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, 5 months Nov 2000 - Present
Financial Strategies, Inc. 22 years, 9 months Aug 1991 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/24/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

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.

Advisor Exams

Exam Series Passed Date
Financial and Operations Principal Examination Series 27 03/17/2003
Uniform Investment Adviser Law Examination Series 65 06/10/1997
General Securities Principal Examination Series 24 04/06/1992
Uniform Securities Agent State Law Examination Series 63 02/22/1991
General Securities Representative Examination Series 7 01/17/1991

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Other: PERCENTAGE UNDER ADVISEMENT