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Herman Adolphus Brunson

Balance Investments

Statesville, NC

CRD 5667467

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Employer firm

Balance Investments CRD 173163

$2.80M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Balance Investments

Statesville, NC • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2017-08-29
IL RA APPROVED 2014-10-01
  • NC RA
    APPROVED
    Since 2017-08-29
  • IL RA
    APPROVED
    Since 2014-10-01

Branch Locations

Statesville, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Balance Investments Llc Mooresville NC 09/2014 Present
  • 09/2014 → Present
    Balance Investments Llc
    Mooresville, NC
Previous Registrations
  • 2009-08-05 → 2011-09-09
    Edward Jones
    St Louis, MO
    Chicago, IL
    Westchester, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-09-22
S66 Uniform Combined State Law Examination 2009-08-01
  • S65 Uniform Investment Adviser Law Examination
    2014-09-22
  • S66 Uniform Combined State Law Examination
    2009-08-01
Other Names
  • Herman A Brunson

View on SEC IAPD

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