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Brett Michael Frum

Investment Adviser Representative at KCD FINANCIAL, INC.

Tarpon Springs, FLCRD #2175253Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
22 yrs
States Registered
5 states
Exams Passed
4

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Brett Michael Frum has worked in the securities industry since 2004. They are registered to provide investment advisory services in Alabama, Florida, Minnesota, Oregon, and Texas.

Registrations & licenses

Registration type
Dual-registered
Registered in 5 states
AlabamaFloridaMinnesotaOregonTexas
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 9/28/2007
Series 63
Uniform Securities Agent State Law Examination
Passed 1/22/2001
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 1/18/2001

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Up to $100,0002.50%
$100,000 to $500,0001.50%
$500,000 to $1,000,0000.75%
Above $1,000,0000.50%
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

KCD Financial, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

KCD FINANCIAL, INC.Current
8/17/2022Tarpon Springs, FL
KCD FINANCIAL, INC.Current
11/3/2021Tarpon Springs, FL
MBSC SECURITIES CORPORATION
4/16/20076/7/2013Shakopee, MN
PRUDENTIAL INVESTMENTS LLC
2/17/20065/9/2006Prior Lake, MN

Official records & sources

Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Brett Michael Frum has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Brett Michael Frum - Financial Advisor in Tarpon Springs, FL | AdvisorFinder