AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DB

David Bromberg

Some features on this profile are disabled
CRD#: 803172
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 Bromberg was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1975. David had worked at 11 firms and has passed the Series 63, Series 3, PC, Series 7 and Series 24 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

October 30, 1998 - October 26, 2000

D.E. FREY & COMPANY, INC.

BD
CRD#: 23595
DENVER, CO
Past

January 27, 1993 - October 7, 1998

SANDERS MORRIS LLC

BD
CRD#: 20580
HOUSTON, TX
Past

April 11, 1988 - December 24, 1992

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

February 17, 1984 - April 11, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

June 30, 1981 - January 25, 1984

COWEN SECURITIES INC.

BD
CRD#: 8531
Past

February 13, 1981 - June 30, 1981

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
Past

May 1, 1978 - February 16, 1981

LEHMAN BROTHERS KUHN LOEB INCORPORATED

BD
CRD#: 7555
Past

September 16, 1977 - May 5, 1978

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

August 27, 1976 - September 16, 1977

BACHE HALSEY STUART INC.

BD
CRD#: 7238
Past

February 27, 1976 - August 27, 1976

BACHE & CO INCORPORATED

BD
CRD#: 7058
Past

March 26, 1975 - February 27, 1976

BACHE & CO., INCORPORATED

BD
CRD#: 66
Past

January 2, 1975 - February 28, 1975

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541

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
RR
Series 63
Date: 10/16/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 8/26/1986
National Commodity Futures Examination
General Industry/Product Exam
RR
PC
Date: 2/2/1981
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 12/21/1974
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/10/1993
General Securities Principal Examination

Current Firm

DF
D.E. FREY & COMPANY, INC.
D.E. FREY & COMPANY, INC.

CRD#: 23595 / SEC#: , 8-40582

BD
Terminated by SEC on 07/08/2001
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/19/1988
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
D.E. FREY GROUPPARENT; SOLE SHAREHOLDER
FREY, DALE EDWARDCEO, CHAIRMAN, DIRECTOR/SHAREHOLDER - D.E. FREY GROUP214215
HEINZEROTH, TODD OWENVP FINANCE AND ACCOUNTING3249358
HOCEVAR, PAUL LEEDIRECTOR, CHIEF FINANCIAL OFFICER2703641

Disclosures

Regulatory Event11
Civil Event4
Arbitration8

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

D.E. FREY & COMPANY, INC.

CRD#: 23595

TRUST BUT VERIFY

Monitor David Bromberg

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics