John F. Broyles
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.
John Franklin Broyles JR, who also goes by Jack Broyles, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2014 - June 9, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 5, 2011 - May 1, 2013
SECURITIES AMERICA, INC.
February 23, 2011 - September 8, 2011
LOWELL & COMPANY, INC.
October 20, 2008 - September 10, 2009
ALLIANZ LIFE FINANCIAL SERVICES, LLC
June 4, 2002 - June 19, 2008
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
April 7, 1993 - June 19, 2008
INVESCO DISTRIBUTORS, INC.
September 5, 1991 - April 13, 1993
WOODBURY FINANCIAL SERVICES, INC.
May 17, 1986 - September 12, 1989
COLONIAL INVESTMENT SERVICES, INC.
November 18, 1985 - May 13, 1986
THE GREAT-WEST LIFE ASSURANCE COMPANY
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
Series 62
Date: 7/10/2006
Corporate Securities Limited Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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