Scott M. Broadbent

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CRD#: 3206871

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.

Scott Mons Broadbent, who also goes by Scott Broadbent, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1999. Scott had worked at 11 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott 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) Global Financial Advisors llc, Mesa, AZ. investment related, 0 hours/month devoted to this activity fixed life and annuity sales - commissions 03-2011 - present. 2) US Benefits, LLC - Address: Mesa, Arizona - Nature of the Business: Administrative LLC - Position/Title: Managing Member - Investment Related: No - Start Date: 07/01/2009 - Hours per month devoted to this business: 0 - Hours per month devoted to this business during trading hours: 0 - Description of duties: Currently none. 3) Eco-Golf, LLC, Tempe, AZ, Member. Non-Investment related. 0 hrs per month, March 2010 - Present. No duties at present time. 4) Strategic Risk Alternatives. Boise, ID. Agent, Commissionable marketing and sales of captive plans. Investment related 1-4 hours Per week. 5) Global Financial Advisory, LLC - Address: Mesa, AZ Nature of the Business: Insurance brokerage - Position/Title: Managing Member. Investment Related: No - Start Date: 04/30/2015 - Hours per month devoted to this business: 2 - Hours per month devoted to this business during trading hours: 1 - Commissionable fixed life and annuity sales. 6) 3/2013 - Present: Agent- Advisors Excel. This is a Field Marketing Organization through which Scott Mons Broadbent sells commissionable fixed life and annuities. 7) Owner/Managing Member; Acquire Tax Credits LLC; Investment Related: No; Location: 10653 S Riverfront Pkwy Suite 200 South Jordan, UT 84095; Description of the business: Tax Planning; Responsibilities Duties: Tax planning for research and development tax credits.; Start date with business: 2021-04-13; Hours devoted to business during trading hours: 8; Hours devoted to business outside trading hours: 10; Percentage of total yearly compensation expected to be derived from the business: 15; 9) Acquire Wealth Collective Is the advisory affiliate principal control person: Yes; Entail service on board of directors for a publicly traded company: No; Is the business investment related: No; Location of the business: 10653 S Riverfront Pkwy Suite 200 South Jordan, UT 84095 ; Description of the business: Payroll and holding company; Position Title: Managing Member; Start date with business: 2021-07-14; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 0.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 19, 2020 - January 10, 2025

ACQUIRE CONSULT LLC

RIA

CRD#: 309197

SOUTH JORDAN, UT

Past

August 13, 2019 - June 3, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

BOUNTIFUL, UT

Past

March 22, 2019 - August 8, 2019

INTEGRATED WEALTH STRATEGIES

RIA

CRD#: 141673

SALT LAKE CITY, UT

Past

October 6, 2017 - March 21, 2019

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SALT LAKE CITY, UT

Past

October 4, 2017 - June 3, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BOUNTIFUL, UT

Past

September 1, 2016 - October 3, 2017

CALTON & ASSOCIATES, INC.

RIA

CRD#: 20999

Mesa, AZ

Past

April 15, 2015 - September 30, 2016

ADVISORY SERVICES NETWORK

RIA

CRD#: 146051

MESA, AZ

Past

April 6, 2015 - October 3, 2017

CALTON & ASSOCIATES, INC.

CRD#: 20999

Mesa, AZ

Past

March 10, 2015 - April 7, 2015

INNOVATION PARTNERS LLC

CRD#: 146344

MESA, AZ

Past

April 9, 2012 - April 7, 2015

INNOVATION PARTNERS LLC

RIA

CRD#: 146344

MESA, AZ

Past

February 25, 2011 - March 9, 2012

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

MESA, AZ

Past

September 3, 2008 - March 25, 2010

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

MESA, AZ

Past

April 12, 2002 - March 25, 2010

WORLD GROUP SECURITIES, INC.

CRD#: 114473

MESA, AZ

Past

April 23, 1999 - April 12, 2002

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 3/17/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/11/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/30/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/10/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/22/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/19/2001

Investment Company Products/Variable Contracts Principal Examination