FREDDIE LATRON BROADWAY - Investment Adviser at FISHER INVESTMENTS

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Detailed ReportReport

FREDDIE LATRON BROADWAY

CRD#: 5714735

Investment Adviser

Previous Broker

FISHER INVESTMENTSCRD#: 107342

6500 INTERNATIONAL PKWY
STE 2050
PLANO, TX 75093-8222

Disclosures

Disclosures

0 Disclosures

Registration History

License(s)

State Registrations

Texas 8/7/2024

Current Registration(s)

FISHER INVESTMENTS (CRD#:107342)

6500 INTERNATIONAL PKWY STE 2050, PLANO, TX 75093-8222

Registered with this firm since 8/7/2024

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	09/11/2017 - 03/12/2019	CAPITAL ONE ADVISORS, LLC (CRD#:136865)	Plano, TX
B	02/01/2017 - 03/12/2019	CAPITAL ONE INVESTING, LLC (CRD#:45744)	Plano, TX
IA	10/01/2013 - 04/08/2016	USAA FINANCIAL PLANNING SERVICES (CRD#:106352)	ADDISON, TX
B	09/11/2013 - 04/08/2016	USAA FINANCIAL ADVISORS, INC. (CRD#:129035)	ADDISON, TX
B	04/05/2013 - 08/08/2013	TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)	LEWISVILLE, TX
IA	10/01/2012 - 03/18/2013	J.P. MORGAN SECURITIES LLC (CRD#:79)	BATON ROUGE, LA
B	10/01/2012 - 03/18/2013	J.P. MORGAN SECURITIES LLC (CRD#:79)	BATON ROUGE, LA
IA	10/08/2010 - 10/01/2012	CHASE INVESTMENT SERVICES CORP. (CRD#:25574)	BATON ROUGE, LA
B	10/08/2010 - 10/01/2012	CHASE INVESTMENT SERVICES CORP. (CRD#:25574)	BATON ROUGE, LA
IA	12/15/2009 - 07/22/2010	EDWARD JONES (CRD#:250)	MONROE, LA
B	12/02/2009 - 07/22/2010	EDWARD JONES (CRD#:250)	MONROE, LA

CAPITAL ONE ADVISORS, LLC (CRD#:136865)

Plano, TX

09/11/2017 - 03/12/2019

CAPITAL ONE INVESTING, LLC (CRD#:45744)

Plano, TX

02/01/2017 - 03/12/2019

USAA FINANCIAL PLANNING SERVICES (CRD#:106352)

ADDISON, TX

10/01/2013 - 04/08/2016

USAA FINANCIAL ADVISORS, INC. (CRD#:129035)

ADDISON, TX

09/11/2013 - 04/08/2016

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)

LEWISVILLE, TX

04/05/2013 - 08/08/2013

J.P. MORGAN SECURITIES LLC (CRD#:79)

BATON ROUGE, LA

10/01/2012 - 03/18/2013

J.P. MORGAN SECURITIES LLC (CRD#:79)

BATON ROUGE, LA

10/01/2012 - 03/18/2013

CHASE INVESTMENT SERVICES CORP. (CRD#:25574)

BATON ROUGE, LA

10/08/2010 - 10/01/2012

CHASE INVESTMENT SERVICES CORP. (CRD#:25574)

BATON ROUGE, LA

10/08/2010 - 10/01/2012

EDWARD JONES (CRD#:250)

MONROE, LA

12/15/2009 - 07/22/2010

EDWARD JONES (CRD#:250)

MONROE, LA

12/02/2009 - 07/22/2010

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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.

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.