Jeffrey D. Broders
Professional summary
Jeffrey David Broders is a registered financial advisor currently at RUNNING OAK CAPITAL LLC located in Ankeny, Iowa.
Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Jeffrey has worked at 4 firms and has passed the Series 66, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey David Broders's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 7, 2021 - Present
RUNNING OAK CAPITAL LLC
May 3, 2017 - October 4, 2021
PRINCIPAL ASSET MANAGEMENT
September 15, 2008 - October 4, 2021
PRINCIPAL FUNDS DISTRIBUTOR, INC.
June 9, 2008 - March 9, 2017
PRINCIPAL SECURITIES, INC.
May 20, 2003 - March 9, 2017
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
RUNNING OAK CAPITAL LLC
CRD#: 286656 / SEC#: 801-110116
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(12/7/2021)
Exams
Series 7TO
Date: 12/1/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/1/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
RUNNING OAK CAPITAL LLC
CRD#: 286656 / SEC#: 801-110116
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,039 |
| AUM (Assets Under Management) | $ 822,755,662 |
Red Flags
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