Steven W. Broadbent
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.
Steven Warren Broadbent was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1998. Steven had worked at 5 firms and has passed the Series 65, Series 63, SIE 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 25, 2013 - December 31, 2023
VALMARK ADVISERS, INC.
March 30, 2011 - December 31, 2023
VALMARK SECURITIES, INC.
January 31, 2011 - March 30, 2011
KESTRA INVESTMENT SERVICES, LLC
May 9, 2001 - January 31, 2011
CLARK SECURITIES, INC.
November 20, 1998 - May 9, 2001
WESTPORT FINANCIAL SERVICES, L.L.C.
Primary Firm SEC Registration
VALMARK ADVISERS, INC.
CRD#: 108050 / SEC#: 801-55564
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
VALMARK ADVISERS, INC.
CRD#: 108050 / SEC#: 801-55564
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,096 |
| AUM (Assets Under Management) | $ 8,379,181,235 |
Red Flags
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