Brett M. Broxterman
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.
Brett Matthew Broxterman, who also goes by Brett Matthew Broxterman, Brett Broxterman, was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 2016. Brett had worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2023 - March 15, 2024
THE LEADERS GROUP, INC.
November 8, 2021 - March 8, 2024
FOUNDATIONS INVESTMENT ADVISORS LLC
August 14, 2020 - September 30, 2021
AE FINANCIAL SERVICES, LLC
November 13, 2017 - November 12, 2018
MADISON AVENUE SECURITIES, LLC
September 22, 2016 - September 30, 2021
AE WEALTH MANAGEMENT, 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
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
