Unclaimed Profile

David Francis Brochu

KLEOSSUM, INC.·CONWAY, New Hampshire

Series 7, Series 24, Series 27, Series 63, Series 6523 years registeredKLEOSSUM, INC.

53 TECHNOLOGY LANE, CONWAY, NH 03818CRD# 1164857Firm CRD# 154685

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David Francis Brochu · CONWAY, NH

Registration

CRD #1164857 · KLEOSSUM, INC. · 23 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: KLEOSSUM, INC.

KLEOSSUM, INC.

Nov 2010 – Dec 2014

NORTH CONWAY, NH

STRATEGIC POINT INVESTMENT ADVISORS LLC

Jan 2003 – Jun 2010

PROVIDENCE, RI

STRATEGIC POINT RETIREMENT PLAN SERVICES LLC

Jan 2003 – Dec 2006

PROVIDENC, RI

Registrations & Exams

FINRA examinations passed

Series 7

Series 24

Series 27

Series 63

Series 65

Registration record

First registered · January 1, 2003

Years registered · 23

Disclosure History

2016Regulatory·Final

2014Regulatory·Final

2009Regulatory·Final

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

KLEOSSUM, INC.

CRD 154685 · SEC 801-71736

AUM

$37M

Regulatory assets under management

Employees

100 client accounts

Services offered by KLEOSSUM, INC.

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

View all advisors at KLEOSSUM, INC. →

Introduction

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Frequently Asked Questions

What services does David Francis Brochu offer?

David Francis Brochu specializes in Investment Management, Wealth Management.

What are David Francis Brochu's credentials?

David Francis Brochu is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David Francis Brochu located?

David Francis Brochu is based in CONWAY, New Hampshire, last registered with KLEOSSUM, INC..

How does David Francis Brochu charge for services?

David Francis Brochu's firm is compensated through percentage of aum, other: percentage under advisement. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is KLEOSSUM, INC.?

KLEOSSUM, INC. has approximately 1 employees and manages $37M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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