David L. Brundage

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CRD#: 2342514

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.

David Lloyd Brundage, CFP®, who also goes by Dave Brundage, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1993. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dave Brundage

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.

Roanoke, TX City Councilman; Investment-Related: No; Location: 500 Oak St, Roanoke, TX 762627; Position: Ward 3 City Councilman; Start Date: 05/11/2021; Responsibilities: City Council; Hours devoted to business outside trading hours: 4.

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: 1999

Experience

Past

October 8, 2020 - June 17, 2024

FACET

RIA

CRD#: 285961

Roanoke, TX

Past

October 7, 2019 - September 1, 2020

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

ROANOKE, TX

Past

October 1, 2019 - September 1, 2020

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Roanoke, TX

Past

March 28, 2019 - May 29, 2019

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

Dallas, TX

Past

November 2, 2018 - January 28, 2019

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Dallas, TX

Past

September 7, 2018 - January 28, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

Dallas, TX

Past

March 8, 2001 - May 23, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Roanoke, TX

Past

November 16, 1993 - December 31, 1994

AMERICAN EXPRESS SERVICE CORPORATION

CRD#: 10518

MINNEAPOLIS, MN

Past

April 22, 1993 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 22, 1993 - May 23, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Grapevine, TX

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".

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 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: 8/7/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/16/1993

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: 4/13/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/9/2005

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/30/1997

General Securities Principal Examination

Current Firm

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

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Contact information

Main Address

400 East Pratt Street 8th Floor, Baltimore, MD 21202

Mailing Address

Phone number

(443) 376-6222

Established

Firm type

Fiscal year end

# of Employees

174

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	36,817
AUM (Assets Under Management)	$ 4,754,146,771

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/29/2025	Cover Page	Report

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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Firm Stability Insights

David L. Brundage

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

ALLSTATE FINANCIAL ADVISORS, LLC

FARMERS FINANCIAL SOLUTIONS, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERICAN EXPRESS SERVICE CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

FACET

State Registrations and Notice Filings

Exams

Series 65

Date: 8/7/2000

Series 63

Date: 4/16/1993

SIE

Date: 10/1/2018

Series 7

Date: 4/13/1993

Series 51

Date: 3/9/2005

Series 24

Date: 7/30/1997

Current Firm

FACET

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FACET

TRUST BUT VERIFY

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