Paul K. Broughton

THE BROUGHTON INVESTMENT GROUP

Houston, TX 77098

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CRD#: 2935732

Professional summary

Paul Kent Broughton SR is a registered financial advisor currently at THE BROUGHTON INVESTMENT GROUP, INC. located in Houston, Texas.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Paul has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Kent Broughton SR's 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®

None

Experience

Current

June 8, 2012 - Present

THE BROUGHTON INVESTMENT GROUP, INC.

Office #1: 3730 Kirby Drive Suite 600, Houston, TX 77098

RIA

CRD#: 164389

Houston, TX

Past

January 13, 2005 - February 14, 2011

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

HOUSTON, TX

Past

January 1, 2004 - February 14, 2011

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

HOUSTON, TX

Past

February 7, 2000 - January 1, 2004

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

January 23, 1998 - December 17, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 23, 1998 - December 17, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

Highlighted states indicate IAR registrations

IAR

Texas
(6/8/2012)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/10/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/14/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/22/1998

General Securities Representative Examination

Current Firm

THE BROUGHTON INVESTMENT GROUP, INC.

CRD#: 164389 / SEC#:

Florida

Registered Investment Advisory firm - (7/15/2020 Terminated)

Texas

Registered Investment Advisory firm - (6/8/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3730 Kirby Drive Suite 600, Houston, TX 77098

Mailing Address

Phone number

(713) 337-4500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	55
AUM (Assets Under Management)	$ 19,500,000

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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Paul K. Broughton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Kent Broughton SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE BROUGHTON INVESTMENT GROUP, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

CAPITAL BROKERAGE CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/10/2002

Series 63

Date: 11/14/1997

Series 7

Date: 1/22/1998

Current Firm

THE BROUGHTON INVESTMENT GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE BROUGHTON INVESTMENT GROUP, INC.

TRUST BUT VERIFY

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