Edmund Broomhead (CRD# 1712713) is an Investment Advisor Representative working at Janney Montgomery Scott LLC in Warwick, RI and has over 37 years of experience in the finance industry.
CRD# 4318531
Integrated Wealth Concepts LLC
CRD# 4030542
Ameriprise Financial Services, LLC
CRD# 6230536
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Company Name | Location | Dates | Years |
---|---|---|---|
Janney Montgomery Scott LLC | Warwick, RI | Mar 2024 - Current | < 1 |
Janney Montgomery Scott LLC | Providence, RI | Oct 2016 - Mar 2024 | 7 |
Bank Of America, Na | Providence, RI | Dec 2009 - Oct 2016 | 6 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Providence, RI | Sep 2005 - Oct 2016 | 11 |
Exam Code | Name | Passed Date |
---|---|---|
S63 | Uniform Securities State Law Examination | Sep 1987 |
S65 | NASAA Investment Advisors Law Examination | Jul 1998 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- ME
- RI
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Total Assets Under Management85,895MILLIONS
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Total Number of Accounts226,034ACCOUNTS
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Average Account Value$380,010
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Other
- 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)
- Educational seminars/workshops
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