Don E. Broadwell
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.
Don Edward Broadwell, who also goes by Robert Broadwell, was a registered financial professional .
Don is a previously registered financial professional and started their career in finance in 1995. Don had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
March 13, 2000 - December 31, 2009
BLACKROCK EXECUTION SERVICES
June 13, 1995 - February 16, 2000
STEPHENS
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
BLACKROCK FUND DISTRIBUTION COMPANY
CRD#: 146183 / SEC#: , 8-67795
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACKROCK ASSET MANAGEMENT INTERNATIONAL, INC. | SHAREHOLDER | |
| BLEVINS, JOHN HOWARD | ASSISTANT SECRETARY | 1983887 |
| CONNOLLY, ROBERT PETER | SECRETARY | 2024363 |
| CORLISS, STEPHEN FREDERICK | COO | 4721275 |
| FINK, LAURENCE DOUGLAS | CHAIRMAN/DIRECTOR | 830137 |
| FROIO, RICHARD FRANCIS SR. | CHIEF COMPLIANCE OFFICER | 2214598 |
| GREENBERG, PAUL JAY | FINANCIAL AND OPERATIONS PRINCIPAL/CFO | 2460376 |
| KAPITO, ROBERT STEVEN | DIRECTOR | 728399 |
| LATHAM, MICHAEL ARTHUR | CHIEF EXECUTIVE OFFICER | 4547654 |
| SLANE, TERRI LYNN | ASSISTANT SECRETARY | 3133346 |
| STELLEY, JOHN C. | ASSISTANT SECRETARY | |
| WALTCHER, DANIEL R | DIRECTOR | |
| WALTCHER, DANIEL R | ASSISTANT SECRETARY | |
| WOODARD, SUSAN LAWSON | MSRB PRINCIPAL | 4225106 |
Red Flags
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