David P. Broman

BROMAN & GREIG ASSET MANAGEMENT

WESTLAKE VILLAGE, CA 91362

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CRD#: 2766936

Professional summary

David Paul Broman, who also goes by David Broman, is a registered financial advisor currently at BROMAN & GREIG ASSET MANAGEMENT, LLC located in Westlake Village, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. David has worked at 1 firm and has passed the Series 65 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Broman

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.

FIRM NAME: THE HUMPHREY-GOES FAMILY 2013 REVOCABLE TRUST INVESTMENT RELATED: NO. ADDRESS: 102 E. 8TH STREET; SUITE #200; DURANGO, CO 81301 NATURE OF BUSINESS: SUCCESSOR TRUSTEE POSITION / TITLE: CORPORATE SECRETARY START DATE: 1997 # HRS IN THIS BUSINESS: 4-6 HOURS / WEEK # HRS DURING TRADING HOURS: 4-6 HOURS / WEEK DUTIES: EXECUTORY DUTIES --------------- FIRM NAME: CLEARFUZE NETWORKS INVESTMENT RELATED: NO. ADDRESS: 11693 SAN VICENTE BLVD., #395, LOS ANGELES, CA 90049 NATURE OF BUSINESS: TECHNOLOGY POSITION/TITLE: CORPORATE SECRETARY START DATE: 02/18/03 # OF HOURS IN THIS BUSINESS: 2 HRS PER WEEK # OF HOURS DURING TRADING HRS: 2 HOURS PER WEEK DUTIES: EXECUTORY DUTIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Paul Broman's CRS (Customer Relationship Summary).

Certified licenses

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

None

Experience

Current

August 30, 2012 - Present

BROMAN & GREIG ASSET MANAGEMENT, LLC

Office #1: 3075 E. Thousand Oaks Blvd Suite 31, Westlake Village, CA 91362

RIA

CRD#: 130494

WESTLAKE VILLAGE, CA

Past

May 12, 1998 - December 31, 2009

BROMAN & GREIG ASSET MANAGEMENT, LLC

RIA

CRD#: 130494

SANTA MONICA, CA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(8/30/2012)

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: 8/29/2012

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 2

Date: 6/25/1996

Non-Member General Securities Examination

Current Firm

BROMAN & GREIG ASSET MANAGEMENT, LLC

AVERY & GREIG, LLP | BROMAN & GREIG ASSET MANAGEMENT, LLC

CRD#: 130494 / SEC#: 801-63088

RIA

Registered Investment Advisory firm - (10/9/2012 Terminated)

California

Registered Investment Advisory firm - (10/8/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3075 E. Thousand Oaks Blvd Suite 31, Westlake Village, CA 91362

Mailing Address

102 E. 8th Street #200, Durango, CO 81301

Phone number

(805) 403-2145

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	23
AUM (Assets Under Management)	$ 15,202,000

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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David P. Broman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Paul Broman's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROMAN & GREIG ASSET MANAGEMENT, LLC

BROMAN & GREIG ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/29/2012

Series 2

Date: 6/25/1996

Current Firm

BROMAN & GREIG ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BROMAN & GREIG ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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