Scott M. Broadbent

DRIVE WEALTH ADVISERS

South Jordan, UT 84095

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CRD#: 3206871

Professional summary

Scott Mons Broadbent, who also goes by Scott Broadbent, is a registered financial advisor currently at DRIVE WEALTH ADVISERS located in South Jordan, Utah.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Scott has worked at 12 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"?

Yes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Mons 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

May 14, 2026 - Present

DRIVE WEALTH ADVISERS

Office #1: 10653 S. River Front Parkway, Ste 200, South Jordan, UT 84095

RIA

CRD#: 174728

South Jordan, UT

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

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".

DRIVE WEALTH ADVISERS

DRIVE WEALTH ADVISERS | DRIVE WEALTH MANAGEMENT, LLC | DRIVE WEALTH MANAGEMENT

CRD#: 174728 / SEC#: 801-113223

RIA

Registered Investment Advisory firm - (5/11/2018 Approved)

California

Registered Investment Advisory firm - (6/17/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/17/2018 Terminated)

Utah

Registered Investment Advisory firm - (5/17/2018 Terminated)

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).

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

Utah
(5/14/2026)

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

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

Current Firm

DRIVE WEALTH ADVISERS

DRIVE WEALTH ADVISERS | DRIVE WEALTH MANAGEMENT, LLC | DRIVE WEALTH MANAGEMENT

CRD#: 174728 / SEC#: 801-113223

RIA

Registered Investment Advisory firm - (5/11/2018 Approved)

California

Registered Investment Advisory firm - (6/17/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/17/2018 Terminated)

Utah

Registered Investment Advisory firm - (5/17/2018 Terminated)

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Contact information

Main Address

3333 N Digital Drive #700, Lehi, UT 84043

Mailing Address

Phone number

(801) 901-6150

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DRIVE WEALTH MANAGEMENT, LLC ADV PART 2 BROCHURE (3/17/2025)

Regulatory assets under management

Total Number of Accounts	4,487
AUM (Assets Under Management)	$ 2,175,572,827

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/31/2025	Cover Page	Report
03/20/2024	Cover Page	Report
02/27/2023	Cover Page	Report

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

Scott M. Broadbent

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Mons Broadbent's CRS (Customer Relationship Summary).

Certified licenses

Experience

ACQUIRE CONSULT LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

INTEGRATED WEALTH STRATEGIES

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

CALTON & ASSOCIATES, INC.

ADVISORY SERVICES NETWORK

CALTON & ASSOCIATES, INC.

INNOVATION PARTNERS LLC

INNOVATION PARTNERS LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

INVESTMENT ADVISORS INTERNATIONAL, INC.

WORLD GROUP SECURITIES, INC.

WMA SECURITIES, INC.

Primary Firm SEC Registration

DRIVE WEALTH ADVISERS

State Registrations and Notice Filings

Exams

Series 63

Date: 3/17/2015

Series 65

Date: 7/11/2008

Series 7TO

Date: 4/30/2024

SIE

Date: 10/1/2018

Series 7

Date: 3/10/2015

Series 6

Date: 4/22/1999

Series 26

Date: 4/19/2001

Current Firm

DRIVE WEALTH ADVISERS

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DRIVE WEALTH ADVISERS

TRUST BUT VERIFY

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