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STEVEN MATTHEW BROUGHTON
STEVE BROUGHTON
CRD#: 2124713
IA
B
KESTRA ADVISORY SERVICES, LLCCRD#: 283330 702 E. Washington St.
Greenville, SC 29601
Greenville, SC 29601
KESTRA INVESTMENT SERVICES, LLCCRD#: 42046 702 E. Washington St.
Greenville, SC 29601
Greenville, SC 29601
0
Disclosures
30
Years of Experience
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State Registrations
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California 10/31/2019
B
North Carolina 11/16/2017
B
Florida 11/1/2019
B
South Carolina 11/2/2017
B
Michigan 11/5/2019
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South Carolina 11/7/2017
B
Mississippi 8/30/2021
SRO Registrations
B
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Registered with this firm since 11/7/2017
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Registered with this firm since 11/2/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/21/2007 - 11/02/2017 | GREENVILLE, SC | |
B | 06/20/2007 - 11/02/2017 | GREENVILLE, SC | |
IA | 01/06/2004 - 06/22/2007 | GREENVILLE, SC | |
B | 07/27/2000 - 06/22/2007 | GREENVILLE, SC | |
B | 02/10/1999 - 07/19/2000 | ROCHESTER, NY | |
B | 09/28/1998 - 01/05/1999 | SPRINGFIELD, MA | |
B | 05/31/1995 - 09/28/1998 | OAKDALE, MN | |
B | 01/13/1995 - 05/30/1995 | HOUSTON, TX |
GREENVILLE, SC
01/06/2004 - 06/22/2007
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.