Katherine Broughton, financial advisor Denver CO
93 score

Katherine Broughton

CRD Number: 5610680
Current Firm: First Ascent Asset Management, LLC

Katherine Broughton (CRD# 5610680) is an Investment Advisor Representative working at First Ascent Asset Management, LLC in Denver, CO and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
First Ascent Asset Management Denver, CO Feb 2017 - Current 1
Sagepoint Financial, Inc. Austin, TX Oct 2016 - Mar 2017 < 1
Price Wealth Management, Inc. Austin, TX Nov 2014 - Nov 2016 2
Northern Lights Distributors, LLC Omaha, NE Feb 2013 - Oct 2014 1
Afam Capital, Inc. Austin, TX Jan 2013 - Oct 2014 1
Self Employed Austin, TX May 2012 - Dec 2012 < 1
St. Edwards University Austin, TX Jan 2012 - Dec 2012 < 1
Capital Benefits Group Austin, TX Sep 2011 - Jan 2012 < 1
Nylife Securities LLC New York, NY May 2011 - Sep 2011 < 1
New York Life Insurance Co New York, NY Jul 2008 - Sep 2011 3
Teach For America New York, NY Feb 2008 - Jun 2008 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 2009
S65 NASAA Investment Advisors Law Examination Oct 2013
Contact Info for Katherine C. Broughton
Phone Number: 720-465-7888
Registered State(s):
  • CO
By the Numbers
  • Total Assets Under Management
    74
    MILLIONS
  • Total Number of Accounts
    409
    ACCOUNTS
  • Average Account Value
    $180,637
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

CO, GA, NJ, OH, TX

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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