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JB

Jonathan R. Broadbent

Some features on this profile are disabled
CRD#: 4649531
JB

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.

Jonathan Robert Broadbent, who also goes by Jon Robert Broadbent, Jonathon Robert Broadbent, was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 2003. Jonathan had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jon Robert Broadbent | Jonathon Robert 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)

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

January 9, 2023 - December 31, 2025

PLAN PARTNERS LLC

RIA
CRD#: 167647
NEWBURY, OH
Past

February 22, 2016 - December 11, 2019

IFS SECURITIES

BD
CRD#: 40375
Beachwood, OH
Past

November 26, 2013 - May 6, 2014

IFS SECURITIES

BD
CRD#: 40375
LYNDHURST, OH
Past

October 28, 2013 - December 31, 2022

PLAN PARTNERS LLC

RIA
CRD#: 167647
NEWBURY, OH
Past

October 27, 2009 - October 24, 2013

FINTEGRA, LLC

RIA
CRD#: 16741
MAYFIELD HEIGHTS, OH
Past

October 27, 2009 - October 24, 2013

FINTEGRA, LLC

BD
CRD#: 16741
MAYFIELD HEIGHTS, OH
Past

January 19, 2006 - October 2, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PEPPER PIKE, OH
Past

January 17, 2006 - October 2, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PEPPER PIKE, OH
Past

January 3, 2006 - January 18, 2006

KEY INVESTMENT SERVICES LLC

RIA
CRD#: 136300
CLEVELAND, OH
Past

January 3, 2006 - January 18, 2006

KEY INVESTMENT SERVICES LLC

BD
CRD#: 136300
CLEVELAND, OH
Past

September 10, 2004 - December 31, 2005

KEYBANC CAPITAL MARKETS INC.

RIA
CRD#: 566
CLEVELAND, OH
Past

June 16, 2004 - December 31, 2005

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

July 16, 2003 - July 16, 2004

VISTA FINANCIAL SERVICES CORPORATION

BD
CRD#: 37626
HUDSON, OH

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
RR
IAR
Series 66
Date: 9/8/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/2003
General Securities Representative Examination

Current Firm

PP
PLAN PARTNERS LLC
FEE-BASED PLAN CONSULTANTS | PLAN PARTNERS LLC | FEE-BASED PLAN CONSULTANTS, LLC

CRD#: 167647 / SEC#:

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Contact information

Main Address
Newbury, OH
Mailing Address
Phone number
(440) 345-8003
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts32
AUM (Assets Under Management)$ 13,000,000

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
PennsylvaniaERA - Withdrawn9/16/2020

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.

Company Information

PLAN PARTNERS LLC

CRD#: 167647

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