Jerry J. Broussard

BROUSSARD FINANCIAL GROUP

KAPLAN, LA 70548

Some features on this profile are disabled

CRD#: 1230207

Professional summary

Jerry James Broussard, CFP® is a registered financial advisor currently at BROUSSARD FINANCIAL GROUP, LLC located in Kaplan, Louisiana.

Jerry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Jerry has worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.

Biography

I work on an ongoing or one time basis in helping clients reach their retirement or investment goals.

Question & Answer

What are your service offerings?

Divorce Planning

Investment Planning

Comprehensive Financial Planni...

Retirement Planning

Retirement Income Management

Do you have an area of expertise or specialization?

Baby Boomers

Cash Flow/Budgets/Credit Issue...

College/Education Planning

Divorce Planning

Entrepreneurs

Estate & Generational Planning...

What is your minimum asset requirement?

250K

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jerry James Broussard's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2001

Experience

Current

January 23, 2007 - Present

BROUSSARD FINANCIAL GROUP, LLC

Office #1: 106 W Veterans Memorial Drive, Kaplan, LA 70548

RIA

CRD#: 123724

KAPLAN, LA

Past

May 18, 2000 - December 19, 2002

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

LAFAYETTE, LA

Past

February 9, 1984 - December 16, 2002

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BROUSSARD FINANCIAL GROUP, LLC

CRD#: 123724 / SEC#: 801-130384

RIA

Registered Investment Advisory firm - (7/2/2024 Approved)

Louisiana

Registered Investment Advisory firm - (7/29/2024 Terminated)

Texas

Registered Investment Advisory firm - (7/8/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(1/23/2007)

IAR

Texas
(11/26/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/20/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/20/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/6/1995

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 3/29/1990

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/8/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BROUSSARD FINANCIAL GROUP, LLC

CRD#: 123724 / SEC#: 801-130384

RIA

Registered Investment Advisory firm - (7/2/2024 Approved)

Louisiana

Registered Investment Advisory firm - (7/29/2024 Terminated)

Texas

Registered Investment Advisory firm - (7/8/2024 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

106 West Veterans Memorial Drive, Kaplan, LA 70548

Mailing Address

Po Box 505, Kaplan, LA 70548-0505

Phone number

(337) 643-8319

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	421
AUM (Assets Under Management)	$ 115,389,271

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

Similar Advisors

Tania Mansouri

J.P. MORGAN SECURITIES LLC

Encino, CA

Kent Batley

BATLEY & ASSOCIATES

IAR

Estacada, OR

Nelson Secretario

REDWOOD PRIVATE WEALTH

PHOENIX, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jerry J. Broussard

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jerry James Broussard's CRS (Customer Relationship Summary).

Certified licenses

Experience

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

BROUSSARD FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/20/1997

Series 63

Date: 8/20/1997

Series 7

Date: 1/6/1995

Series 22

Date: 3/29/1990

Series 6

Date: 2/8/1984

Current Firm

BROUSSARD FINANCIAL GROUP, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

BROUSSARD FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors