DB
Denise J. Brochu
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CRD#: 5165569
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.
Denise June Brochu was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 2006. Denise had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 4 and Series 24 exams.
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.
1. 5/11/2012: TWO CAN KETTLE CORN & CATERING - Not Investment Related - Other-FAMILY BUSINESS - Time Spent 5% - CATERING BUSINESS. 2. 8/5/2014: GOOD LIFE ADVISORS, LLC - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR HYBRID - Started 07/18/2014 - 100 Hours Per Month During Securities Trading. 3. 9/10/2015: THE GOOD LIFE COMPANIES - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 07/24/2015 - 0 Hours Per Month - THIS IS AN UMBRELLA NAME THAT THE GOOD LIFE FINANCIAL GROUP, GOOD LIFE ADVISORS, LLC AND GOOD LIFE ADVISORS SYSTEMS WILL OPERATE UNDER. 4. 5/16/2016: Good Life Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 04/06/2016 - 160 Hours Per Month During Securities Trading - IAR. 5. 3/19/2020 - Mary Kay - Not Investment Related - Home Based - Outside/W-2 Employment - Started 03/03/2020 - 5 Hours Per Month/0 Hours During Securities Trading - Mary Kay Consultant. 6. 5/10/2021 - Good Life Advisor System - Not Investment Related - At Reported Business Location(s) - Outside/W-2 Employment - Started 11/05/2014 - 14 Hours Per Month/10 Hours During Securities Trading - Assist new transitioning advisors with LPL forms and transfer of assets as well as training the new advisors on LPL systems. 7. 9/15/2021 - Good Life Outsource Compliance (GLOC) - Not Investment Related - At Reported Business Location(s) - Outside/W-2 Employment - Chief Compliance Officer - Started 05/15/2020 - 25 Hours Per Month During Securities Trading. 8. 11/01/2021 - Spitfire Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 08/24/2021 - 1 Hour Per Month/1 Hour During Securities Trading.
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®
NoneExperience
Past
April 6, 2016 - December 1, 2022
GOOD LIFE ADVISORS, LLC
RIA
CRD#: 171898
READING, PA
Past
February 3, 2012 - December 12, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
READING, PA
Past
August 23, 2010 - February 15, 2012
WADDELL & REED
RIA
CRD#: 866
WYOMISSING, PA
Past
August 28, 2006 - February 15, 2012
WADDELL & REED
BD
CRD#: 866
WYOMISSING, PA
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".
GL
GOOD LIFE ADVISORS, LLC
A.C. HEARNE & CO LLC | VIRTUS WEALTH MANAGEMENT | VALLEY MANOR INVESTMENT MANAGEMENT | UMBRELLA WEALTH MANAGEMENT | THE HOSKINS & RAMIREZ GROUP | SUMMIT WEALTH PLANNING | STROHM WEALTH ADVISORS, LLC | STRATEGIC WEALTH ADVISORS | SHEAR CAPITAL GROUP, LLC FINANCIAL PLANNING AND WEALTH MGT. SERVICES | SEVEN FIELDS WEALTH MANAGEMENT | SCOTT WEALTH MANAGEMENT | SALEEM & ASSOCIATES WEALTH MANAGERS | RESOLUTE FAMILY WEALTH ADVISORS | PRINCIPLE WEALTH MANAGEMENT GROUP | PILLAR FINANCIAL SERVICES | PCG WEALTH MANAGEMENT | OPUS WEALTH MANAGEMENT GROUP | MY PLANNING PRO | MODERN FAMILY ASSET MANAGEMENT | MCCALEB WEALTH MANAGEMENT | LS INVESTMENT MANAGEMENT | LPL FINANCIAL | LORD INVESTMENT GROUP, LLC | LIGHTHOUSE FINANCIAL | INDEPENDENT RETIREMENT PARTNERS, LLC | GRANDVIEW WEALTH MANAGEMENT | GRADVIEW EWEALTH MANAGEMENT | GOOD LIFE FINANCIAL GROUP OF WYOMISSING | GOOD LIFE FINANCIAL GROUP | GOOD LIFE FINANCIAL ADVISORS OF ORLANDO | GOOD LIFE FINANCIAL ADVISORS OF NOVA | GOOD LIFE FINANCIAL ADVISORS OF MT. PLEASANT, SC | GOOD LIFE FINANCIAL ADVISORS OF CENTRAL FLORIDA | GOOD LIFE FINANCIAL ADVISORS OF CELEBRATION | GOOD LIFE FINANCIAL ADVISORS | GOOD LIFE COMPANIES | GOOD LIFE ADVISORS, LLC | GOOD LIFE ADVISORS OF WEST MICHIGAN | GOOD LIFE ADVISORS OF THE LEHIGH VALLEY | GOOD LIFE ADVISORS OF MT. PLEASANT SC | GOOD LIFE ADVISORS OF BERKS COUNTY | GENERATIONS ASSET MANAGEMENT | GDI WEALTH PLANNING GROUP | FREEDOM INVESTMENT MANAGEMENT | FREEDOM FIRST WEALTH MANAGEMENT | FIRESIDE FINANCIAL PARTNERS | ETHOS WEALTH MANAGEMENT | DSG WEALTH MANAGEMENT | DANZER WEALTH MANAGEMENT | CROSS ROADS INVESTMENT MANAGEMENT | CORNERSTONE WEALTH MANAGEMENT - DEATON PRICE GROUP | CORNERSTONE FINANCIAL MANAGEMENT - THE TEMPLETON GROUP | CORNERSTONE FINANCIAL MANAGEMENT | CONVERGENCE FINANCIAL | COMMERCIAL TRUST FINANCIAL SERVICES | CITADEL FINANCIAL PLANNING | BLUESAFE FINANCIAL | BLACK DIAMOND FINANCIAL GROUP | BEGBIE WEALTH ADVISORY LLC | APEIRON WEALTH MANAGEMENT | ALLGOOD FINANCIAL | ADVICE ONLY FINANCIAL PLANS
CRD#: 171898 / SEC#: 801-80003
RIA
Registered Investment Advisory firm - (7/7/2014 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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
GL
GOOD LIFE ADVISORS, LLC
A.C. HEARNE & CO LLC | VIRTUS WEALTH MANAGEMENT | VALLEY MANOR INVESTMENT MANAGEMENT | UMBRELLA WEALTH MANAGEMENT | THE HOSKINS & RAMIREZ GROUP | SUMMIT WEALTH PLANNING | STROHM WEALTH ADVISORS, LLC | STRATEGIC WEALTH ADVISORS | SHEAR CAPITAL GROUP, LLC FINANCIAL PLANNING AND WEALTH MGT. SERVICES | SEVEN FIELDS WEALTH MANAGEMENT | SCOTT WEALTH MANAGEMENT | SALEEM & ASSOCIATES WEALTH MANAGERS | RESOLUTE FAMILY WEALTH ADVISORS | PRINCIPLE WEALTH MANAGEMENT GROUP | PILLAR FINANCIAL SERVICES | PCG WEALTH MANAGEMENT | OPUS WEALTH MANAGEMENT GROUP | MY PLANNING PRO | MODERN FAMILY ASSET MANAGEMENT | MCCALEB WEALTH MANAGEMENT | LS INVESTMENT MANAGEMENT | LPL FINANCIAL | LORD INVESTMENT GROUP, LLC | LIGHTHOUSE FINANCIAL | INDEPENDENT RETIREMENT PARTNERS, LLC | GRANDVIEW WEALTH MANAGEMENT | GRADVIEW EWEALTH MANAGEMENT | GOOD LIFE FINANCIAL GROUP OF WYOMISSING | GOOD LIFE FINANCIAL GROUP | GOOD LIFE FINANCIAL ADVISORS OF ORLANDO | GOOD LIFE FINANCIAL ADVISORS OF NOVA | GOOD LIFE FINANCIAL ADVISORS OF MT. PLEASANT, SC | GOOD LIFE FINANCIAL ADVISORS OF CENTRAL FLORIDA | GOOD LIFE FINANCIAL ADVISORS OF CELEBRATION | GOOD LIFE FINANCIAL ADVISORS | GOOD LIFE COMPANIES | GOOD LIFE ADVISORS, LLC | GOOD LIFE ADVISORS OF WEST MICHIGAN | GOOD LIFE ADVISORS OF THE LEHIGH VALLEY | GOOD LIFE ADVISORS OF MT. PLEASANT SC | GOOD LIFE ADVISORS OF BERKS COUNTY | GENERATIONS ASSET MANAGEMENT | GDI WEALTH PLANNING GROUP | FREEDOM INVESTMENT MANAGEMENT | FREEDOM FIRST WEALTH MANAGEMENT | FIRESIDE FINANCIAL PARTNERS | ETHOS WEALTH MANAGEMENT | DSG WEALTH MANAGEMENT | DANZER WEALTH MANAGEMENT | CROSS ROADS INVESTMENT MANAGEMENT | CORNERSTONE WEALTH MANAGEMENT - DEATON PRICE GROUP | CORNERSTONE FINANCIAL MANAGEMENT - THE TEMPLETON GROUP | CORNERSTONE FINANCIAL MANAGEMENT | CONVERGENCE FINANCIAL | COMMERCIAL TRUST FINANCIAL SERVICES | CITADEL FINANCIAL PLANNING | BLUESAFE FINANCIAL | BLACK DIAMOND FINANCIAL GROUP | BEGBIE WEALTH ADVISORY LLC | APEIRON WEALTH MANAGEMENT | ALLGOOD FINANCIAL | ADVICE ONLY FINANCIAL PLANS
CRD#: 171898 / SEC#: 801-80003
RIA
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Contact information
Main Address
2395 Lancaster Pike, Reading, PA 19607
Mailing Address
Phone number
(610) 898-6927
Established
Firm type
Fiscal year end
# of Employees
140
SEC notice filing (44 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 18,113 |
| AUM (Assets Under Management) | $ 3,486,583,189 |
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.
