Sharon F. Broussard
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sharon Foran Broussard, who also goes by Sharon Foran, was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 1984. Sharon had worked at 16 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2010 - July 3, 2012
VOYA FINANCIAL ADVISORS, INC.
July 10, 2009 - July 3, 2012
DIRECTED SERVICES LLC
March 10, 2009 - July 3, 2012
VOYA RETIREMENT ADVISORS, LLC
March 10, 2009 - July 3, 2012
SLD AMERICA EQUITIES, INC.
June 30, 2004 - July 3, 2012
VOYA FINANCIAL PARTNERS, LLC
August 6, 2003 - June 30, 2004
VOYA FINANCIAL ADVISORS, INC.
July 28, 2000 - June 3, 2003
WALNUT STREET SECURITIES, INC.
December 4, 1997 - January 20, 2000
WS GRIFFITH SECURITIES, INC.
January 12, 1993 - July 3, 1996
G. A. REPPLE & COMPANY
February 6, 1992 - December 31, 1992
SCHWALB CAPITAL SECURITIES, INC.
July 17, 1990 - July 2, 1991
SENTRA SECURITIES CORPORATION
January 25, 1988 - November 29, 1988
CINCINNATI ANALYSTS, INC.
October 2, 1987 - January 25, 1988
THE PARKINS INVESTMENT SECURITIES CORPORATION
July 10, 1987 - September 22, 1987
FOCUS SECURITIES, INC.
January 30, 1986 - June 5, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
October 8, 1985 - March 4, 1986
O. R. SECURITIES, INC.
May 10, 1984 - October 8, 1985
WZW FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
