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MATTHEW LAURENCE BROAD
Matthew Broad
CRD#: 5016657
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 MIDDLETOWN, NJ
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 MIDDLETOWN, NJ
Registration History
20062008201020122014201620182020202220242026IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2023 - Present (1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2022 - Present (3 years)BEQUITABLE ADVISORS, LLC (CRD# 6627)2017 - 2021 (4 years)BCADARET, GRANT & CO., INC. (CRD# 10641)2011 - 2015 (4 years)BNYLIFE SECURITIES LLC (CRD# 5167)2010 - 2010 (<1 year)BALLIANZ GLOBAL INVESTORS DISTR... (CRD# 25567)2008 - 2010 (2 years)BPUTNAM RETAIL MANAGEMENT LIMIT... (CRD# 7325)2006 - 2008 (2 years)BCADARET, GRANT & CO., INC. (CRD# 10641)2005 - 2006 (<1 year)IACADARET GRANT & CO INC (CRD# 10641)2011 - 2011 (<1 year)IAPUTNAM INVESTMENT MANAGEMENT, LLC (CRD# 106629)2007 - 2008 (<1 year)
License(s)

State Registrations

B
Alabama 2/15/2022

B
Nevada 2/15/2022

B
Alaska 2/15/2022

B
New Hampshire 2/15/2022

B
Arizona 2/15/2022

B
New Jersey 2/15/2022

B
Arkansas 2/15/2022

IA
New Jersey 4/25/2023

B
California 2/15/2022

B
New Mexico 2/15/2022

B
Colorado 2/15/2022

B
New York 2/15/2022

B
Connecticut 2/15/2022

B
North Carolina 2/15/2022

B
Delaware 2/15/2022

B
North Dakota 2/15/2022

B
District of Columbia 2/15/2022

B
Ohio 2/16/2022

B
Florida 2/15/2022

B
Oklahoma 2/15/2022

B
Georgia 2/15/2022

B
Oregon 2/15/2022

B
Hawaii 2/15/2022

B
Pennsylvania 2/15/2022

B
Idaho 2/15/2022

B
Puerto Rico 2/15/2022

B
Illinois 2/15/2022

B
Rhode Island 2/15/2022

B
Indiana 2/15/2022

B
South Carolina 2/15/2022

B
Iowa 2/15/2022

B
South Dakota 2/15/2022

B
Kansas 2/15/2022

B
Tennessee 2/16/2022

B
Kentucky 2/15/2022

B
Texas 2/15/2022

B
Louisiana 2/15/2022

IA
Texas 4/21/2023

B
Maine 2/15/2022

B
Utah 2/15/2022

B
Maryland 2/15/2022

B
Vermont 2/15/2022

B
Massachusetts 2/15/2022

B
Virgin Islands 2/15/2022

B
Michigan 2/15/2022

B
Virginia 2/15/2022

B
Minnesota 2/15/2022

B
Washington 2/15/2022

B
Mississippi 2/15/2022

B
West Virginia 2/15/2022

B
Missouri 2/15/2022

B
Wisconsin 2/15/2022

B
Montana 2/15/2022

B
Wyoming 2/15/2022

B
Nebraska 2/15/2022

SRO Registrations

B
FINRA

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
MIDDLETOWN, NJ
Registered with this firm since 4/21/2023

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
MIDDLETOWN, NJ
Registered with this firm since 2/15/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
B
06/16/2017 - 12/09/2021 EQUITABLE ADVISORS, LLC (CRD#:6627) SECAUCUS, NJ
B
07/22/2011 - 07/02/2015 CADARET, GRANT & CO., INC. (CRD#:10641) RED BANK, NJ
IA
07/27/2011 - 08/12/2011 CADARET GRANT & CO INC (CRD#:10641) RED BANK, NJ
B
09/10/2010 - 09/27/2010 NYLIFE SECURITIES LLC (CRD#:5167) NEW YORK, NY
B
01/08/2008 - 06/18/2010 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC (CRD#:25567) NEW YORK, NY
IA
08/29/2007 - 01/08/2008 PUTNAM INVESTMENT MANAGEMENT, LLC (CRD#:106629) BOSTON, MA
B
01/31/2006 - 01/08/2008 PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (CRD#:7325) ANDOVER, MA
B
10/11/2005 - 01/19/2006 CADARET, GRANT & CO., INC. (CRD#:10641) SYRACUSE, NY
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B
Broker
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Investment Adviser
Disclosures
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