Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DENIS J BRUMM
DENIS JOSEPH BRUMM
CRD#: 3221908
IA
Investment Adviser
B
Previous Broker
BRUMM FINANCIAL SERVICES, LLCCRD#: 293353 257 SOUTH FAIR OAKS AVENUE
SUITE 204
PASADENA, CA 91105
Registration History
20002002200420062008201020122014201620182020202220242026IABRUMM FINANCIAL SERVICES, LLC (CRD# 293353)2018 - Present (7 years)BUNITED PLANNERS' FINANCIAL SER... (CRD# 20804)2009 - 2018 (8 years)BNRP FINANCIAL, INC. (CRD# 103717)2008 - 2009 (1 year)BAIG FINANCIAL ADVISORS, INC. (CRD# 133763)2005 - 2008 (2 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)2003 - 2005 (2 years)BLINCOLN FINANCIAL ADVISORS COR... (CRD# 3978)1999 - 2001 (2 years)IAPENNIALL & ASSOCIATES (CRD# 148282)2008 - 2018 (9 years)IAPENNIALL & ASSOCIATES, INC. (CRD# 121336)2003 - 2008 (5 years)
License(s)

State Registrations

IA
California 3/30/2018
Current Registration(s)
IA
BRUMM FINANCIAL SERVICES, LLC (CRD#:293353)
257 SOUTH FAIR OAKS AVENUE SUITE 204, PASADENA, CA 91105
Registered with this firm since 3/30/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 11/18/2009 - 03/16/2018 UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (CRD#:20804) PASADENA, CA
IA
 10/21/2008 - 03/14/2018 PENNIALL & ASSOCIATES (CRD#:148282) PASADENA, CA
B
 07/23/2008 - 10/14/2009 NRP FINANCIAL, INC. (CRD#:103717) PASADENA, CA
IA
 10/17/2003 - 11/20/2008 PENNIALL & ASSOCIATES, INC. (CRD#:121336) PASADENA, CA
B
 10/31/2005 - 07/23/2008 AIG FINANCIAL ADVISORS, INC. (CRD#:133763) PASADENA, CA
B
 06/27/2003 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
B
 07/28/1999 - 08/23/2001 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) FORT WAYNE, IN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.