Steven BroughtonCRD Number: 2124713
Current Firm: Kestra Advisory Services, LLC
Steven Broughton (CRD# 2124713) is an Investment Advisor Representative working at Kestra Advisory Services, LLC in Greenville, SC and has over 28 years of experience in the finance industry. Steven 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.
Apex Capital Management LLC
|Kestra Advisory Services, LLC||Greenville, SC||Nov 2017 - Current||5|
|Kestra Investment Services, LLC||Greenville, SC||Nov 2017 - Current||5|
|Sii Investment Inc.||Greenville, SC||Jun 2007 - Nov 2017||10|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1995|
|S65||NASAA Investment Advisors Law Examination||Dec 2003|
Total Assets Under Management41,795MILLIONS
Total Number of Accounts140,407ACCOUNTS
Average Account Value$297,671
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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