Steven M. Broughton

KESTRA ADVISORY SERVICES

Williamson, SC

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CRD#: 2124713

Professional summary

Steven Matthew Broughton, CFP®, who also goes by Steve Broughton, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Williamson, South Carolina and KESTRA INVESTMENT SERVICES, LLC located in Greenville, South Carolina.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Steven has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Broughton

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.

Business Name: BFG Advisors Wealth Management Investment Related: Yes Address: 702 E. Washington St. Greenville SC 29601 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: President Start Date: 7/1/2014 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Planning, Investments.Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest PKWY. Building 2 Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 11/2/2017 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Investment Advisor Representative

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Matthew Broughton'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: 2012

Experience

Current

November 7, 2017 - Present

KESTRA ADVISORY SERVICES, LLC

Office #2: 702 E. Washington St., Greenville, SC 29601

RIA

CRD#: 283330

Williamson, SC

Current

November 2, 2017 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 702 E. Washington St., Greenville, SC 29601

CRD#: 42046

Greenville, SC

Past

June 21, 2007 - November 2, 2017

SII INVESTMENTS, INC.

RIA

CRD#: 2225

GREENVILLE, SC

Past

June 20, 2007 - November 2, 2017

SII INVESTMENTS, INC.

CRD#: 2225

GREENVILLE, SC

Past

January 6, 2004 - June 22, 2007

LEGACY ADVISORY SERVICES, INC.

RIA

CRD#: 111027

GREENVILLE, SC

Past

July 27, 2000 - June 22, 2007

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

GREENVILLE, SC

Past

February 10, 1999 - July 19, 2000

LIFEMARK SECURITIES CORP.

CRD#: 16204

ROCHESTER, NY

Past

September 28, 1998 - January 5, 1999

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

May 31, 1995 - September 28, 1998

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

January 13, 1995 - May 30, 1995

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/31/2019)

Florida
(11/1/2019)

Massachusetts
(10/13/2025)

Michigan
(11/5/2019)

Mississippi
(8/30/2021)

North Carolina
(11/16/2017)

South Carolina
(11/2/2017)

IAR

South Carolina
(11/7/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/9/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/12/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/20/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/12/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Steven M. Broughton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Matthew Broughton's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

LEGACY ADVISORY SERVICES, INC.

LEGACY FINANCIAL SERVICES, INC.

LIFEMARK SECURITIES CORP.

MML INVESTORS SERVICES, LLC

WOODBURY FINANCIAL SERVICES, INC.

AMERICAN GENERAL EQUITY SERVICES CORPORATION

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/2003

Series 63

Date: 1/12/1995

Series 7TO

Date: 10/20/2025

SIE

Date: 10/1/2018

Series 6

Date: 1/12/1995

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

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