Eric S. Broadus

CAN SERVE FREE LLC

Flowery Branch, GA

Some features on this profile are disabled

CRD#: 5052296

Professional summary

Eric Shea Broadus is a registered financial advisor currently at CAN SERVE FREE LLC located in Flowery Branch, Georgia.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Eric has worked at 2 firms and has passed the Series 65, SIE, Series 3, Series 34 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Shea Broadus'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®

None

Experience

Current

May 21, 2021 - Present

CAN SERVE FREE LLC

RIA

CRD#: 311129

Flowery Branch, GA

Past

October 24, 2008 - November 20, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

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

Georgia
(5/21/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/9/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 6/20/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/14/2017

National Commodity Futures Examination

General Industry/Product Exam

Series 34

Date: 7/23/2016

Retail Off-Exchange FOREX Examination

General Industry/Product Exam

Series 7

Date: 10/23/2008

General Securities Representative Examination

Current Firm

CAN SERVE FREE LLC

CRD#: 311129 / SEC#:

Georgia

Registered Investment Advisory firm - (5/21/2021 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Flowery Branch, GA

Mailing Address

Phone number

(301) 693-7710

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Eric S. Broadus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Shea Broadus's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAN SERVE FREE LLC

MORGAN STANLEY & CO. LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/9/2021

SIE

Date: 6/20/2021

Series 3

Date: 1/14/2017

Series 34

Date: 7/23/2016

Series 7

Date: 10/23/2008

Current Firm

CAN SERVE FREE LLC

Contact information

Documents

Red Flags

Company Information

CAN SERVE FREE LLC

TRUST BUT VERIFY

Similar Advisors