Adam Blumberg has been Managing Partner / Chief Compliance Officer of Protocol Wealth since January 2025, is a control person of the firm and directly owns under 5% of it. Adam Blumberg holds a BBA in Finance from McCombs School of Business, University of Texas at Austin.
Protocol Wealth, LLC is a Denver, CO firm with $153M under management, 49 clients and 3 advisers across 2 offices, as of its October 2026 filing.
Adam Blumberg is Managing Partner, Chief Compliance Officer of Protocol Wealth. He leads compliance review. Registered since May 2009, he was a broker and investment adviser at MML Investors Services and an investment adviser at Chart Wealth Management, LLC. He founded Interaxis in 2019 and co-founded PlannerDAO.
Adam Blumberg’s longest registration was 6 years at MML Investors Services, LLC (2009–2015). Before joining Protocol Wealth in 2025, Adam Blumberg was registered through Chart Wealth Management, LLC and Cambridge Investment Research Advisors, Inc.
- Chart Wealth Management, LLC– · 3 yearsHouston, TX · Adviser representative · Firm CRD 288812
- Cambridge Investment Research Advisors, Inc.– · 1 yearBellaire, TX · Adviser representative · Firm CRD 134139
- MML Investors Services, LLC– · 6 yearsHouston, TX · Adviser representative · Firm CRD 10409
Professional designations
Listed by Protocol Wealth
- CFP®
Investment adviser representative registrations
Adam Blumberg is registered as an investment adviser representative in Colorado, since April 2025.
- ColoradoSince 12 April 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | 4 April 2025 |
| Series 65 | Uniform Investment Adviser Law Examination | 24 February 2025 |
| Series 66 | Uniform Combined State Law Examination | 19 May 2009 |
| Series 7 | General Securities Representative Examination | 6 May 2009 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Adam Steven Blumberg
- CRD
- 5656102
- Firm
- Protocol Wealth · CRD 335298
- Role
- Managing Partner / Chief Compliance Officer
- Office
- 201 MILWAUKEE STREET, SUITE 200, Denver, CO 80206
- Registration
- Investment adviser registration
- In the industry since
- August 2013
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- protocolwealthllc.com
Where does Adam Blumberg work?
Adam Blumberg has been Managing Partner / Chief Compliance Officer of Protocol Wealth, LLC since January 2025, and is a control person of the firm.
Is Adam Blumberg a financial advisor?
Yes. Adam Blumberg has a current investment-adviser registration in Colorado, through Protocol Wealth since April 2025.
How many years of experience does Adam Blumberg have?
Adam Blumberg has 13 years in the financial industry, since August 2013, across 4 adviser firms.
What exams has Adam Blumberg passed?
Adam Blumberg has passed 4 licensing exams: the Series 7, Series 66, Series 65 and SIE. The earliest, the Series 7, was passed in May 2009.
Where did Adam Blumberg work before Protocol Wealth?
Before Protocol Wealth, Adam Blumberg was registered through Chart Wealth Management, LLC, September 2017 to December 2020; Cambridge Investment Research Advisors, Inc., November 2015 to September 2017; MML Investors Services, LLC, June 2009 to November 2015.
Where is Adam Blumberg based?
Adam Blumberg’s registered office is in Denver, CO.
Is Adam Blumberg registered with FINRA?
No. Adam Blumberg has no current broker registration.
Is Adam Blumberg a CFP?
Protocol Wealth lists Adam Blumberg with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
Source: Adam Blumberg, CFP® biography, protocolwealthllc.com
How can I verify Adam Blumberg’s record?
Search CRD 5656102 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Adam Blumberg’s full registration record.
