Joseph R. Broadbent

DIVERSIFY WEALTH MANAGEMENT

Draper, UT

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CRD#: 3132498

Professional summary

Joseph Richards Broadbent, who also goes by Joseph R Broadbent, Jr Broadbent, is a registered financial advisor currently at DIVERSIFY WEALTH MANAGEMENT, LLC located in Draper, Utah and DFPG INVESTMENTS, LLC located in Draper, Utah.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph R Broadbent | Jr Broadbent

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.

1. The NNN Advisor; Investment Related; 12547 South 1745 East Draper UT 84020; Real Estate; Agent; 01/1995; 25% during business hours; Sales and marketing activities 2. Canyon JV LLC; Investment Related; 12547 S 1745 E Draper UT 84020; LLC; Manager; 06/2014; 10% during business hours; Manage developer and investor relationships

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Richards Broadbent'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®

None

Experience

Current

January 7, 2025 - Present

DIVERSIFY WEALTH MANAGEMENT, LLC

RIA

CRD#: 329878

Draper, UT

Current

October 14, 2011 - Present

DFPG INVESTMENTS, LLC

CRD#: 155576

Draper, UT

Past

December 12, 2023 - January 7, 2025

DIVERSIFY ADVISORY SERVICES, LLC

RIA

CRD#: 326060

DRAPER, UT

Past

May 2, 2011 - October 11, 2011

ORCHARD SECURITIES, LLC

CRD#: 133378

DRAPER, UT

Past

June 12, 2002 - April 29, 2011

OMNI BROKERAGE, INC.

CRD#: 16878

DRAPER, UT

Past

November 29, 2001 - June 14, 2002

CAMDEN FINANCIAL SERVICES

CRD#: 19925

KELLER, TX

Past

October 8, 2001 - December 1, 2001

AMERIVET SECURITIES, INC.

CRD#: 34786

NEW YORK, NY

Past

December 8, 1999 - September 17, 2001

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

December 8, 1999 - September 17, 2001

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

October 22, 1998 - December 16, 1999

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

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".

DIVERSIFY WEALTH MANAGEMENT, LLC

CRD#: 329878 / SEC#: 801-129521

RIA

Registered Investment Advisory firm - (2/16/2024 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

Alaska
(3/29/2019)

Arizona
(11/13/2012)

California
(10/14/2011)

Colorado
(2/5/2014)

Florida
(3/29/2019)

Georgia
(3/29/2019)

Idaho
(1/12/2023)

Illinois
(1/11/2021)

Michigan
(1/9/2020)

Missouri
(3/23/2023)

Montana
(4/14/2022)

Nevada
(3/29/2019)

North Carolina
(3/29/2019)

Oregon
(3/29/2019)

Pennsylvania
(3/29/2019)

Texas
(9/27/2016)

IAR

Texas
(1/7/2025)

Utah
(10/14/2011)

IAR

Utah
(1/7/2025)

Washington
(11/13/2012)

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

Exams

State Security Law Exam

IAR

Series 65

Date: 11/21/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/2/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 1/22/2016

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 1/17/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/20/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/25/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 12/28/1998

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

DIVERSIFY WEALTH MANAGEMENT, LLC

CRD#: 329878 / SEC#: 801-129521

RIA

Registered Investment Advisory firm - (2/16/2024 Approved)

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Contact information

Main Address

9017 S Riverside Dr Suite 210, Sandy, UT 84070

Mailing Address

Phone number

(801) 838-9999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DIVERSIFY WEALTH MANAGEMENT (7/25/2025)

Regulatory assets under management

Total Number of Accounts	12,760
AUM (Assets Under Management)	$ 2,526,799,821

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

Joseph R. Broadbent

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Richards Broadbent's CRS (Customer Relationship Summary).

Certified licenses

Experience

DFPG INVESTMENTS, LLC

DIVERSIFY ADVISORY SERVICES, LLC

ORCHARD SECURITIES, LLC

OMNI BROKERAGE, INC.

CAMDEN FINANCIAL SERVICES

AMERIVET SECURITIES, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

WMA SECURITIES, INC.

Primary Firm SEC Registration

DIVERSIFY WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/21/2023

Series 63

Date: 11/2/1998

SIE

Date: 10/1/2018

Series 79

Date: 1/22/2016

Series 7

Date: 1/17/2001

Series 6

Date: 10/20/1998

Series 24

Date: 5/25/2004

Series 26

Date: 12/28/1998

FINRA

Current Firm

DIVERSIFY WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DIVERSIFY WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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