Jason L. Broady
Professional summary
Jason L Broady, who also goes by Jason L Broady, Jason Lee Broady, is a registered financial professional currently at HUNTINGTON SECURITIES, INC. located in Charlotte, North Carolina.
Jason is registered as a RR (Registered Representative) and started their career in finance in 2008. Jason has worked at 4 firms and has passed the Series 63, Series 66, Series 79TO, SIE, Series 79, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jason L Broady's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 16, 2025 - Present
HUNTINGTON SECURITIES, INC.
Office #1: 101 S. Tryon St Suite 1810, Charlotte, NC 28280November 9, 2021 - July 1, 2024
FIFTH THIRD SECURITIES, INC.
November 13, 2019 - November 4, 2020
FIFTH THIRD SECURITIES, INC.
September 6, 2013 - August 14, 2014
WELLS FARGO SECURITIES, LLC
September 23, 2008 - March 31, 2009
MORGAN STANLEY & CO. LLC
August 27, 2008 - March 31, 2009
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 11/13/2019
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HUNTINGTON SECURITIES, INC.
CRD#: 2261 / SEC#: , 8-5761
Contact information
FINRA licenses (29 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNTINGTON BANCSHARES INCORPORATED | DIRECT OWNER | |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| BORRELLI, MARK ROBERT | GENERAL COUNSEL/SECRETARY | 6803711 |
| COSTANZO, SAMANTHA ANN | DIRECTOR | 4133695 |
| DIBOWSKI, TERRA | HEAD OF BROKERAGE OPERATIONS | 5468840 |
| FITZSIMMONS, DAVID RAYMOND | HEAD OF INSTITUTIONAL SALES & TRADING, DIRECTOR | 4245434 |
| HERBERT, KATHERINE ELEANOR | CONTROLLER/FINOP | 6412263 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | PRESIDENT | 6419334 |
| SZWAGULAK, JOHN W III | CHIEF COMPLIANCE OFFICER | 4033023 |
| WALTHER, KATHLEEN | DIRECTOR | 7858303 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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