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Brett Frum

Kcd Financial, INC.
22 Years of Experience
Tarpon Springs, FL
2 DisclosuresBrokerSells Insurance
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Brett Frum is a registered investment advisor at Kcd Financial, INC., based in Tarpon Springs, FL, with 22 years of industry experience. Brett is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 1,257 clients with $200M in assets under management.

Kcd Financial, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
38 advisors
Number of Clients
1,257 clients
Average Client Portfolio
$161K average
Assets Under Management
$202.1M

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)

KCD Financial offers asset management programs where fees are a percentage of the assets they manage. This fee can range from 0.5% to 3% annually, as agreed upon between you and KCD. The smaller your portfolio, the larger the percentage you might pay, and vice versa. The specific fee structure will be detailed in your Investment Advisory Services Agreement.

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Location

Tarpon Springs, FL

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2025
Pending
Customer Dispute
November 1994
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Brett is the Director of Sales and Distribution for TradeBacked Inc, dedicating about 35 hours per week. He also spends a few hours per week selling fixed annuities and life insurance products.

Employment History
Current Registrations
Kcd Financial, INC.
August 2022 - Present · 4 yrs 2 mos
Kcd Financial, INC.
November 2021 - Present · 4 yrs 11 mos
Kcd Financial, INC.Broker
November 2021 - Present · 4 yrs 11 mos
Previous Registrations
Aei Securities, INC.Broker
April 2021 - August 2021 · 4 mos
Patrick Capital Markets, LLCBroker
July 2018 - June 2019 · 11 mos
Provasi Capital Partners LPBroker
June 2014 - April 2018 · 3 yrs 10 mos
Bic Distributors, LLCBroker
January 2014 - June 2014 · 5 mos
Mbsc Securities Corporation
April 2007 - June 2013 · 6 yrs 2 mos
Mbsc Securities CorporationBroker
April 2007 - June 2013 · 6 yrs 2 mos
Prudential Investments LLC
February 2006 - May 2006 · 3 mos
Prudential Investment Management Services LLCBroker
February 2006 - April 2007 · 1 yr 2 mos
Thornburg Securities CorporationBroker
June 2004 - June 2005 · 1 yr
Seligman Advisors, INC.Broker
March 2001 - September 2003 · 2 yrs 6 mos
Deutsche Banc Alex. Brown INC.Broker
March 2001 - March 2001 · 0 mos
Painewebber IncorporatedBroker
November 1992 - March 1993 · 4 mos
Hibbard Brown & CO., INC.Broker
September 1991 - November 1992 · 1 yr 2 mos
State Registrations5 states
ALFLMNORTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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