Herbert L. Broadwater
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.
Herbert Leroy Broadwater, who also goes by Herb Broadwater Jr, Herbert L Broadwater Jr, Herbert Leroy Broadwater Jr, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1989. Herbert had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 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 8, 2015 - December 31, 2015
QUESTAR CAPITAL CORPORATION
January 15, 2013 - January 7, 2015
SECURITIES SERVICE NETWORK, LLC
February 9, 2009 - January 16, 2013
QUESTAR CAPITAL CORPORATION
April 21, 2006 - February 3, 2009
EQUITABLE ADVISORS, LLC
June 9, 2005 - May 1, 2006
USALLIANZ SECURITIES, INC.
January 14, 2005 - June 3, 2005
METROPOLITAN LIFE INSURANCE COMPANY
January 14, 2005 - June 3, 2005
MSI FINANCIAL SERVICES, INC.
May 3, 2004 - January 4, 2005
OSAIC FS, INC.
November 15, 2002 - March 31, 2004
OSAIC FS, INC.
December 19, 2000 - November 4, 2002
METROPOLITAN LIFE INSURANCE COMPANY
December 19, 2000 - November 4, 2002
MSI FINANCIAL SERVICES, INC.
April 2, 1997 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 2, 1997 - December 20, 2000
EQUITABLE ADVISORS, LLC
April 18, 1995 - March 20, 1997
AMERICAN UNITED LIFE INSURANCE COMPANY
April 17, 1995 - March 20, 1997
ONEAMERICA SECURITIES, INC.
April 29, 1994 - February 21, 1995
WALNUT STREET SECURITIES, INC.
May 13, 1991 - April 22, 1994
MML INVESTORS SERVICES, LLC
June 26, 1989 - April 1, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 26, 1989 - April 1, 1991
EQUITABLE ADVISORS, LLC
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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
