Broc B. Spradlin
Professional summary
Broc Barnett Spradlin is a registered financial professional currently at FIRST SOUTHERN, LLC located in Alpharetta, Georgia.
Broc is registered as a RR (Registered Representative) and started their career in finance in 2002. Broc has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Broc Barnett Spradlin's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 28, 2017 - Present
FIRST SOUTHERN, LLC
Office #1: 1720 Windward Concourse, Suite 115, Alpharetta, GA 30005March 25, 2015 - October 5, 2020
FIRST SOUTHERN SECURITIES, LLC.
July 21, 2005 - March 12, 2015
CREWS & ASSOCIATES, INC.
June 12, 2002 - April 5, 2004
STEPHENS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/9/2020)
(4/9/2020)
(4/9/2020)
(4/9/2020)
(4/9/2020)
(8/28/2017)
Exams
FINRA
Current Firm
FIRST SOUTHERN, LLC
CRD#: 282756 / SEC#: , 8-69733
Contact information
FINRA licenses (35 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENT, INC. | SHAREHOLDER | |
| HEEHAW INC. | SHAREHOLDER | |
| VSPR, INC. | SHAREHOLDER | |
| PAGAN MARXUACH, RAFAEL ANTONIO | OWNER | 2863850 |
| HAWK, WILLIAM HEATH | PRESIDENT/CEO/MANAGING MEMBER | 2494928 |
| JACKELS, STEPHANIE KANE | FINOP/PFO | 5928877 |
| JONES, SHARON DOSTER | CHIEF COMPLIANCE OFFICER | 3124470 |
| SFYRIS, VASILEIOS ALEXIOS | MANAGING MEMBER/POO | 4026992 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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