Adam Broughton, financial advisor Austin TX
96 score

Adam Broughton

CRD Number: 4431657
Current Firm: Planning Better Lives

Adam Broughton (CRD# 4431657) is an Investment Advisor Representative working at Planning Better Lives in Austin, TX and has over 8 years of experience in the finance industry. Adam Broughton has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
3p Consulting, Inc. Dba Planning Better Lives Austin, TX Apr 2015 - Current 1
Independent Financial Group Brea, CA Oct 2012 - Jun 2015 2
3p Consulting, Inc. Dba Planning Better Lives Brea, CA Jan 2010 - Apr 2015 5
Clover Financial & Insurance Services, Inc. Ontario, CA Aug 2008 - Sep 2012 4
Financial Network Investment Corporation El Segundo, CA Aug 2008 - Oct 2011 3
Pension Planners Securities, Inc. Ontario, CA Jan 2008 - Aug 2008 < 1
Ameriprise Financial Services, Inc. Glendale, CA Aug 2007 - Nov 2007 < 1
Davis Research, LLC Calabasas, CA Jan 2007 - Nov 2007 < 1
Facilities Support Services, Inc. Glendale, CA Oct 2006 - Jan 2007 < 1
Facilities Support Services, Inc. Glendale, CA Sep 2004 - Jan 2007 2
Azusa Pacific University Azusa, CA Sep 2004 - Nov 2006 2
Aardvark Tactical, Inc. Azusa, CA Sep 2006 - Oct 2006 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2007
Contact Info for Adam C. Broughton
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Subscription fees (for a newsletter or periodical)
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States


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