Denis J. Brumm

BRUMM FINANCIAL SERVICES

Pasadena, CA 91105

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CRD#: 3221908

Professional summary

Denis J Brumm, who also goes by Denis Joseph Brumm, is a registered financial advisor currently at BRUMM FINANCIAL SERVICES, LLC located in Pasadena, California.

Denis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Denis has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Denis Joseph Brumm

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.

1)PENNIALL & ASSOCIATES - EMPLOYEE/REG ASST - PROVIDING SUPPORT FOR INSURANCE,FINANCIAL AND ADVISORY SERVICES - SINCE 07/2008 - PASADENA CA. 2)BRUMM & ASSOCIATES, INC - PRESIDENT & CEO - CPA FIRM, PROVIDING TAX, ACCOUNTING AND PLANNING SERVICES - SINCE 12/2013 --- AGENT - INSURANCE SALES AND SERVICE - SINCE 11/2004 - PASADENA CA - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Denis J Brumm'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

March 30, 2018 - Present

BRUMM FINANCIAL SERVICES, LLC

Office #1: 257 South Fair Oaks Avenue Suite 204, Pasadena, CA 91105

RIA

CRD#: 293353

Pasadena, CA

Past

November 18, 2009 - March 16, 2018

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

PASADENA, CA

Past

October 21, 2008 - March 14, 2018

BRIDGE ADVISORY LLC

RIA

CRD#: 148282

PASADENA, CA

Past

July 23, 2008 - October 14, 2009

NRP FINANCIAL, INC.

CRD#: 103717

PASADENA, CA

Past

October 31, 2005 - July 23, 2008

OSAIC SERVICES, INC.

CRD#: 133763

PASADENA, CA

Past

October 17, 2003 - November 20, 2008

PENNIALL & ASSOCIATES, INC.

RIA

CRD#: 121336

PASADENA, CA

Past

June 27, 2003 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

July 28, 1999 - August 23, 2001

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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
(3/30/2018)

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 66

Date: 9/20/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/16/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/26/1999

General Securities Representative Examination

Current Firm

BRUMM FINANCIAL SERVICES, LLC

CRD#: 293353 / SEC#:

California

Registered Investment Advisory firm - (3/30/2018 Approved)

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Contact information

Main Address

257 South Fair Oaks Avenue Suite 204, Pasadena, CA 91105

Mailing Address

Phone number

(626) 219-7002

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Denis J. Brumm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Denis J Brumm's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRUMM FINANCIAL SERVICES, LLC

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BRIDGE ADVISORY LLC

NRP FINANCIAL, INC.

OSAIC SERVICES, INC.

PENNIALL & ASSOCIATES, INC.

SUNAMERICA SECURITIES, INC.

OSAIC FA, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/1999

SIE

Date: 3/16/2018

Series 7

Date: 7/26/1999

Current Firm

BRUMM FINANCIAL SERVICES, LLC

Contact information

Documents

Red Flags

Company Information

BRUMM FINANCIAL SERVICES, LLC

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