Adam C. Broughton

PBL WEALTH MANAGEMENT

Austin, TX 78746

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CRD#: 4431657

Professional summary

Adam Colby Broughton, CFP®, CPWA®, who also goes by Adam C. Broughton, is a registered financial advisor currently at PBL WEALTH MANAGEMENT located in Austin, Texas.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Adam has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam C. Broughton

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.

2007-PRESENT: INDEPENDENT INSURANCE AGENT/INSURANCE RELATED/AUSTIN, TX/LICENSED INSURANCE AGENT/INSURANCE PRODUCTS AND SERVICES VIA UNAFFILIATED ISSUERS AND AGENCIES/MAY INVOLVE 10% OR MORE TIME EACH MONTH, INCLUDING DURING TRADITIONAL MARKET HOURS.//

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Colby Broughton's 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®

CFP^®

Certified Financial Planner

Start date: 2012

CPWA^®

Certified Private Wealth Advisor

Start date: 2021-06-07

Expire date: 2023-05-31

Experience

Current

June 5, 2015 - Present

PBL WEALTH MANAGEMENT

Office #1: 3345 Bee Cave Road Suite 104, Austin, TX 78746

RIA

CRD#: 178522

Austin, TX

Past

August 23, 2017 - February 15, 2019

FAYKUS FINANCIAL, LLC

RIA

CRD#: 288957

AUSTIN, TX

Past

October 5, 2012 - June 9, 2015

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

BREA, CA

Past

October 5, 2012 - June 9, 2015

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

BREA, CA

Past

August 13, 2008 - November 1, 2011

CETERA WEALTH SERVICES, LLC

CRD#: 13572

ONTARIO, CA

Past

January 23, 2008 - August 13, 2008

PENSION PLANNERS SECURITIES, INC.

CRD#: 14068

ONTARIO, CA

Past

November 6, 2007 - November 19, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

GLENDALE, CA

Past

October 1, 2007 - November 19, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

GLENDALE, CA

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

California
(6/5/2015)

IAR

Texas
(7/17/2015)

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

IAR

Series 66

Date: 11/5/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/9/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/28/2007

General Securities Representative Examination

Current Firm

PBL WEALTH MANAGEMENT

3P CONSULTING, INC. | PLANNING BETTER LIVES | PBL WEALTH MANAGEMENT, LLC | PBL WEALTH MANAGEMENT

CRD#: 178522 / SEC#:

California

Registered Investment Advisory firm - (6/5/2015 Approved)

Texas

Registered Investment Advisory firm - (7/17/2015 Approved)

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Contact information

Main Address

3345 Bee Cave Road Suite 104, Austin, TX 78746

Mailing Address

Phone number

(512) 212-1099

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	127
AUM (Assets Under Management)	$ 75,021,000

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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Adam C. Broughton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Colby Broughton's CRS (Customer Relationship Summary).

Certified licenses

Experience

PBL WEALTH MANAGEMENT

FAYKUS FINANCIAL, LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

CETERA WEALTH SERVICES, LLC

PENSION PLANNERS SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/5/2007

SIE

Date: 6/9/2015

Series 7

Date: 9/28/2007

Current Firm

PBL WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PBL WEALTH MANAGEMENT

TRUST BUT VERIFY

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