Sam M. Bromberg

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CRD#: 3187350

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.

Sam M. Bromberg, who also goes by Sam Meyer Bromberg, was a registered financial professional .

Sam is a previously registered financial professional and started their career in finance in 2003. Sam had worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Sam Meyer Bromberg

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.

DUNWOODY PROPERTIES, LLC NON-INVESTMENT RELATED REAL ESTATE PARTNER 1 HOUR PER MONTH TOTAL AND DURING TRADING HOURS GENERAL MANAGEMENT OF SOLE OFFICE BUILDING BROMBERG PROPERTIES NON-INVESTMENT RELATED 1370 CENTER DRIVE, SUITE 202 ATLANTA, GA 30338 MANAGER OF OFFICE BUILDING 1 HOUR PER MONTH CAPITAL LIGHTING FIXTURE CO NON-INVESTMENT RELATED 5359 RAFE BANKS DR FLOWERY BRANCH, GA 30542 BOARD MEMBER 4 HOURS PER YEAR

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

July 26, 2024 - April 9, 2025

FOCUS PARTNERS WEALTH, LLC

RIA

CRD#: 159289

ATLANTA, GA

Past

March 25, 2020 - November 14, 2024

BUCKINGHAM STRATEGIC WEALTH, LLC

RIA

CRD#: 143323

ATLANTA, GA

Past

June 9, 2003 - March 17, 2020

NOVA WEALTH MANAGEMENT GROUP, LLC

RIA

CRD#: 125489

ATLANTA, GA

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".

FOCUS PARTNERS WEALTH, LLC

CRD#: 159289 / SEC#: 801-72862

RIA

Registered Investment Advisory firm - (12/7/2011 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: 2/5/1999

Uniform Investment Adviser Law Examination

Current Firm

FOCUS PARTNERS WEALTH, LLC

CRD#: 159289 / SEC#: 801-72862

RIA

Registered Investment Advisory firm - (12/7/2011 Approved)

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Contact information

Main Address

190 Carondelet Plaza Suite 600, St. Louis, MO 63105

Mailing Address

Phone number

(314) 725-0455

Established

Firm type

Fiscal year end

# of Employees

1,600

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/7/2025)

ADV PART 2A APPENDIX - WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	124,141
AUM (Assets Under Management)	$ 95,889,888,426

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/20/2024	Cover Page	Report
07/26/2023	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

Sam M. Bromberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FOCUS PARTNERS WEALTH, LLC

BUCKINGHAM STRATEGIC WEALTH, LLC

NOVA WEALTH MANAGEMENT GROUP, LLC

Primary Firm SEC Registration

FOCUS PARTNERS WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/5/1999

Current Firm

FOCUS PARTNERS WEALTH, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FOCUS PARTNERS WEALTH, LLC

TRUST BUT VERIFY

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