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Detailed Report
KEITH D BROADWAY
CRD#: 5658058
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 ONE N JEFFERSON AVE 7TH FL
[STL RCAST]
ST. LOUIS, MO 63103
Registration History
2010201220142016201820202022202420262 FIRMS2013 - 2014 (1 year)2 FIRMS2014 - Present (10 years)BMML INVESTORS SERVICES, LLC (CRD# 10409)2009 - 2012 (3 years)IAMML INVESTORS SERVICES, LLC (CRD# 10409)2011 - 2012 (1 year)
License(s)

State Registrations

B
Alabama 6/23/2014
B
Nebraska 6/23/2014
B
Alaska 6/23/2014
B
Nevada 6/23/2014
B
Arizona 6/23/2014
B
New Hampshire 6/23/2014
B
Arkansas 6/23/2014
B
New Jersey 6/23/2014
B
California 6/23/2014
B
New Mexico 6/23/2014
B
Colorado 6/23/2014
B
New York 6/23/2014
B
Connecticut 6/23/2014
B
North Carolina 6/23/2014
B
Delaware 6/23/2014
B
North Dakota 6/23/2014
B
District of Columbia 6/23/2014
B
Ohio 6/23/2014
B
Florida 6/23/2014
B
Oklahoma 6/23/2014
B
Georgia 6/23/2014
B
Oregon 6/23/2014
B
Hawaii 6/23/2014
B
Pennsylvania 6/23/2014
B
Idaho 6/23/2014
B
Puerto Rico 6/23/2014
B
Illinois 6/23/2014
B
Rhode Island 6/23/2014
B
Indiana 6/23/2014
B
South Carolina 6/23/2014
B
Iowa 6/23/2014
B
South Dakota 6/23/2014
B
Kansas 6/23/2014
B
Tennessee 6/23/2014
B
Kentucky 6/23/2014
B
Texas 6/23/2014
B
Louisiana 6/23/2014
IA
Texas 6/26/2014
B
Maine 6/23/2014
B
Utah 6/23/2014
B
Maryland 6/23/2014
B
Vermont 6/23/2014
B
Massachusetts 6/23/2014
B
Virgin Islands 6/23/2014
B
Michigan 6/23/2014
B
Virginia 6/23/2014
B
Minnesota 6/23/2014
B
Washington 6/23/2014
B
Mississippi 6/23/2014
B
West Virginia 6/23/2014
B
Missouri 6/23/2014
B
Wisconsin 6/23/2014
IA
Missouri 6/23/2014
B
Wyoming 6/23/2014
B
Montana 6/23/2014

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
ONE N JEFFERSON AVE 7TH FL [STL RCAST], ST. LOUIS, MO 63103
Registered with this firm since 6/23/2014
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
ONE N JEFFERSON AVE 7TH FL [STL RCAST], ST. LOUIS, MO 63103
Registered with this firm since 6/23/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/11/2013 - 05/12/2014 PNC INVESTMENTS (CRD#:129052) ST. LOUIS, MO
B
 02/11/2013 - 05/12/2014 PNC INVESTMENTS (CRD#:129052) ST. LOUIS, MO
IA
 01/07/2011 - 11/01/2012 MML INVESTORS SERVICES, LLC (CRD#:10409) O'FALLON, MO
B
 07/13/2009 - 11/01/2012 MML INVESTORS SERVICES, LLC (CRD#:10409) O'FALLON, MO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.