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DB

David B. Brode

Some features on this profile are disabled
CRD#: 31168
DB

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 Barry Brode was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1972. David had worked at 6 firms and has passed the Series 7TO, SIE, Series 1, Series 24 and Series 40 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

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®
None

Experience

Past

January 15, 1998 - January 2, 2024

ABACUS INVESTMENTS, INC.

BD
CRD#: 35127
WATERTOWN, WI
Past

June 16, 1995 - December 31, 2023

BRODE MANAGEMENT GROUP LTD

RIA
CRD#: 104941
GLENCOE, IL
Past

November 24, 1987 - January 21, 1998

HOWE BARNES HOEFER & ARNETT, INC.

BD
CRD#: 2240
CHICAGO, IL
Past

September 6, 1984 - November 17, 1987

HAAS SECURITIES CORPORATION

BD
CRD#: 2104
Past

March 18, 1976 - September 17, 1984

ROTHSCHILD INVESTMENT LLC

BD
CRD#: 728
Past

January 26, 1972 - April 24, 1976

WHITE, WELD & CO. INCORPORATED

BD
CRD#: 6802

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.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 1/24/1972
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 6/16/1976
Registered Principal Examination

Current Firm

AI
ABACUS INVESTMENTS, INC.
ABACUS INVESTMENTS, INC.

CRD#: 35127 / SEC#: , 8-46571

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
S33 W35676 Meadow Trail, Dousmans, WI 53118
Mailing Address
S33 W35676 Meadow Trail, Dousman, WI 53118
Phone number
(262) 431-4095
Established
Wisconsin since 09/07/1993
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MONEY CONCEPTS INTERNATIONAL, INC.OWNER
HOHENSEE, FREDERICK EARLPRESIDENT - CHIEF COMPLIANCE OFFICER1431948

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.

Company Information

ABACUS INVESTMENTS, INC.

CRD#: 35127

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