David F. Brochu
Professional summary
David Francis Brochu was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, David had worked at 6 firms, which includes KLEOSSUM INC., STRATEGIC POINT SECURITIES LLC, STRATEGIC POINT RETIREMENT PLAN SERVICES LLC, STRATEGICPOINT INVESTMENT ADVISORS LLC, COMMONWEALTH FINANCIAL NETWORK, MONARCH SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2010 - December 31, 2014
KLEOSSUM, INC.
May 28, 2003 - June 4, 2010
STRATEGIC POINT SECURITIES, LLC
January 1, 2003 - December 31, 2006
STRATEGIC POINT RETIREMENT PLAN SERVICES LLC
January 1, 2003 - June 4, 2010
STRATEGICPOINT INVESTMENT ADVISORS LLC
August 8, 1991 - August 21, 2001
COMMONWEALTH FINANCIAL NETWORK
February 4, 1991 - August 13, 1991
MONARCH SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
KLEOSSUM, INC.
CRD#: 154685 / SEC#: 801-71736
Contact information
Red Flags
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