Alan T. Brum
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.
Alan Todd Brum, who also goes by Alan T Brum, Alan Brum, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1994. Alan had worked at 9 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2021 - March 25, 2025
KESTRA ADVISORY SERVICES, LLC
March 1, 2021 - March 25, 2025
KESTRA INVESTMENT SERVICES, LLC
July 15, 2010 - December 10, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 15, 2010 - January 6, 2021
TD AMERITRADE, INC.
July 15, 2010 - January 6, 2021
TD AMERITRADE, INC.
March 30, 2009 - May 12, 2010
ADVISORS ASSET MANAGEMENT, INC.
March 30, 2009 - May 12, 2010
ADVISORS ASSET MANAGEMENT, INC.
May 3, 2007 - February 10, 2009
MORGAN STANLEY & CO. LLC
May 3, 2007 - February 10, 2009
MORGAN STANLEY & CO. LLC
January 22, 2007 - May 7, 2007
PNC WEALTH MANAGEMENT LLC
June 5, 2006 - May 7, 2007
PNC WEALTH MANAGEMENT LLC
October 20, 1995 - November 17, 2005
ALLIANCEBERNSTEIN INVESTMENTS, INC.
June 2, 1994 - October 5, 1995
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
