Brent R. Broaddus

WIN TEAM ADVISORY SERVICES

Irvine, CA 92618

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CRD#: 4875940

Professional summary

Brent Robert Broaddus is a registered financial advisor currently at WIN TEAM ADVISORY SERVICES located in Irvine, California and J. W. COLE ADVISORS, INC. located in Irvine, California.

Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Brent has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

(1) ALOHA BLISS; NOT INVESTMENT RELATED; 1984 FEDERAL AVE, COSTA MESA, CA 92627; HAWAIIAN MERCHANDISER SALES; CO OWNER; 05/01/2008; 20-40 HOURS PER MONTH; 0 HOURS DEVOTED DURING TRADING HOURS; SETUP/BREAKDOWN AT FESTIVALS/SALES. (2) BROADDUS FAMILY TRUST; NOT INVESTMENT RELATED; 1984 FEDERAL AVE, COSTA MESA, CA 92627; TRUSTEE; TRUSTEE; 09/01/2007. 2 HOURS PER MONTH DEVOTED; 1 HOUR PER MONTH DEVOTED DURING TRADING HOURS. (3) WIN-TEAM ADVISORY SERVICES/INSURANCE SERVICES; INVESTMENT RELATED; 560 WALD, IRVINE,CA 92618; INVESTMENTS/INSURANCE; FINANCIAL ADVISOR; 10/27/08; 80/160 HOURS PER MONTH DEVOTED; 80/160 HOURS DEVOTED PER MONTH DURING TRADING HOURS; INVESTMENTS/ACCOUNT MGMT/CLIENT SERVICES. (4) ALPINESTAR WEALTH MANAGEMENT; PAYROLL/401(K)/NQDC PLAN; NON-NVESTMENT RELATED; 560 WALD, IRVINE,CA 92618; PRESIDENT/OWNER; 07/01/2022 0 HOURS DEVOTED PER MONTH DURING TRADING HOURS (5) Sandbaggers Golf Club; Non-investment related; Management of monthly golf club; President/Handicap Chairman; Management and operation of monthly golf club, Will have access and control of bank account to handle member tournament dues, and disclosure tournament winnings; Start 2/1/24; 0 hours during trading. (6) J.W. Cole Financial, Inc.; Tampa, FL; Investment Related; Registered Representative; Started 11/2019; Broker/Dealer Product Sales and Supervision; 10% of time spent. (7) J.W. Cole Advisors, Inc.; Tampa, FL; Investment Related; Investment Advisor Representative; Started 11/2019; Investment Advisory Services; 50% of time spent. (8) Brent Broaddus, Sole Proprietor; Irvine, CA; Investment Related; Insurance Agent; Fixed Insurance Sales; Started 09/2009; Approximately 1% of time spent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brent Robert Broaddus'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

September 9, 2009 - Present

WIN TEAM ADVISORY SERVICES

Office #1: 560 Wald, Irvine, CA 92618

RIA

CRD#: 136680

Irvine, CA

Current

November 5, 2019 - Present

J. W. COLE ADVISORS, INC.

Office #1: 560 Wald, Irvine, CA 92618

RIA

CRD#: 112294

IRVINE, CA

Current

November 4, 2019 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 560 Wald, Irvine, CA 92618

CRD#: 124583

Irvine, CA

Past

July 2, 2012 - November 4, 2019

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

Irvine, CA

Past

November 20, 2009 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

IRVINE, CA

Past

September 3, 2009 - November 4, 2019

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

IRVINE, CA

Past

June 19, 2009 - October 7, 2009

NEWPORT WEALTH ADVISORS, INC.

RIA

CRD#: 137159

NEWPORT BEACH, CA

Past

January 4, 2008 - December 31, 2008

NEWPORT WEALTH ADVISORS, INC.

RIA

CRD#: 137159

NEWPORT BEACH, CA

Past

October 8, 2007 - December 31, 2007

NEWPORT WEALTH ADVISORS, INC.

RIA

CRD#: 137159

NEWPORT BEACH, CA

Past

August 29, 2007 - September 4, 2009

CAPITAL GROWTH RESOURCES

CRD#: 7779

NEWPORT BEACH, CA

Past

January 1, 2005 - August 28, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

IRVINE, CA

Past

January 1, 2005 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 1, 2005 - August 28, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

IRVINE, CA

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".

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(11/4/2019)

IAR

California
(9/9/2009)

California
(11/4/2019)

North Carolina
(2/15/2024)

Oregon
(8/11/2021)

Tennessee
(2/13/2024)

Texas
(11/4/2019)

Washington
(1/5/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/30/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/27/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

Phone number

(813) 935-6776

Established

Firm type

Fiscal year end

# of Employees

512

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/28/2025)

JWCA 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	29,614
AUM (Assets Under Management)	$ 7,195,237,282

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

Brent R. Broaddus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brent Robert Broaddus's CRS (Customer Relationship Summary).

Certified licenses

Experience

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

NEWPORT WEALTH ADVISORS, INC.

NEWPORT WEALTH ADVISORS, INC.

NEWPORT WEALTH ADVISORS, INC.

CAPITAL GROWTH RESOURCES

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/30/2004

SIE

Date: 10/1/2018

Series 7

Date: 12/27/2004

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J. W. COLE ADVISORS, INC.

TRUST BUT VERIFY

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