Brian R. Grodman

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CRD#: 1549330

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Brian Richard Grodman, CFP® was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1987. Brian had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)GRODMAN FINANCIAL GROUP, 40 SOUTH RIVER RD, UNIT 15 BEDFORD, NH 03110 CATEGORY:INVESTMENT ADVISORY INVESTMENT-RELATED:Y TITLE: WEALTH MANAGER DUTIES: PROVISION OF ADVISORY SERVICES THROUGH INDEPENDENT RIA START DATE:11/90 HOURS PER MONTH:80 HOURS PER MONTH DURING TRADING HOURS:80 2)GRODMAN FINANCIAL GROUP, 40 SOUTH RIVER RD, UNIT 15 BEDFORD, NH 03110 CATEGORY:INSURANCE INVESTMENT-RELATED:Y TITLE: PRODUCER DUTIES: SALE AND SERVICE OF FIXED INSURANCE PRODUCTS START DATE:11/90 HOURS PER MONTH:20 HOURS PER MONTH DURING TRADING HOURS:20 3)BROPHY WEALTH MANAGEMENT, 40 SOUTH RIVER RD, UNIT 15 BEDFORD, NH 03110 CATEGORY:INVESTMENT ADVISORY INVESTMENT-RELATED:Y TITLE: WEALTH MANAGER DUTIES: PROVISION OF ADVISORY SERVICES THROUGH INDEPENDENT RIA START DATE:01/21 HOURS PER MONTH:80 HOURS PER MONTH DURING TRADING HOURS:80

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Past

January 20, 2021 - September 30, 2024

BROPHY WEALTH MANAGEMENT, LLC

RIA

CRD#: 169894

BEDFORD, NH

Past

October 22, 2012 - September 30, 2024

APW CAPITAL, INC.

CRD#: 43814

BEDFORD, NH

Past

January 24, 2001 - December 19, 2023

GRODMAN FINANCIAL GROUP, LLC

RIA

CRD#: 116867

MANCHESTER, NH

Past

June 11, 1996 - May 26, 2004

INDEPENDENT ADVISERS GROUP CORP

RIA

CRD#: 106684

MANCHESTER, NH

Past

January 19, 1988 - October 23, 2012

OSAIC FS, INC.

CRD#: 3870

MANCHESTER, NH

Past

February 4, 1987 - November 16, 1987

INTERNATIONAL MONEY MANAGEMENT GROUP, INC.

CRD#: 14367

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BROPHY WEALTH MANAGEMENT, LLC

BROPHY WEALTH | BROPHY WEALTH MANAGEMENT, LLC | BROPHY WEALTH MANAGEMENT

CRD#: 169894 / SEC#: 801-78964

RIA

Registered Investment Advisory firm - (12/17/2013 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/22/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/24/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/23/1995

General Securities Principal Examination

Current Firm

BROPHY WEALTH MANAGEMENT, LLC

BROPHY WEALTH | BROPHY WEALTH MANAGEMENT, LLC | BROPHY WEALTH MANAGEMENT

CRD#: 169894 / SEC#: 801-78964

RIA

Registered Investment Advisory firm - (12/17/2013 Approved)

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Contact information

Main Address

40 South River Road Bedford Place Unit 15, Bedford, NH 03110

Mailing Address

Phone number

(603) 668-2303

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,177
AUM (Assets Under Management)	$ 512,561,408

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Brian R. Grodman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

APW CAPITAL, INC.

GRODMAN FINANCIAL GROUP, LLC

INDEPENDENT ADVISERS GROUP CORP

OSAIC FS, INC.

INTERNATIONAL MONEY MANAGEMENT GROUP, INC.

Primary Firm SEC Registration

BROPHY WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/1999

Series 63

Date: 9/24/1986

SIE

Date: 10/1/2018

Series 7

Date: 8/16/1986

Series 24

Date: 2/23/1995

Current Firm

BROPHY WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROPHY WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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