Troy I. Broyles

MOGUL WEALTH MANAGEMENT

Manhattan Beach, CA 90266

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CRD#: 6881642

Professional summary

Troy I Broyles, who also goes by Troy IVan Broyles, is a registered financial advisor currently at MOGUL WEALTH MANAGEMENT, INC. located in Manhattan Beach, California.

Troy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Troy has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Troy Ivan Broyles

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) 2007 - Real Estate Rental - 818 MBB LLC - Investment Related - 818 Manhattan Beach Blvd, Manhattan Beach, CA 90266 2) 2022 - DBA for LPL Business (entity for LPL business) - Cook & Associates - Investment Related - Manhattan Beach, CA 90266 3) 07/08/2022 - Air Mates - Not Investment Related - Home Based - Business Owner - Start Date - 11/1/17 - 0 Hours Per Month/ 0 Hours During Securities Trading - Time Spent 0%. 4) Partner in a commercial office building

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Troy I Broyles'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

August 30, 2022 - Present

MOGUL WEALTH MANAGEMENT, INC.

Office #1: 818 Manhattan Beach Boulevard Suite 200, Manhattan Beach, CA 90266

RIA

CRD#: 144711

Manhattan Beach, CA

Past

June 27, 2022 - April 21, 2025

LPL FINANCIAL LLC

CRD#: 6413

MANHATTAN BEACH, CA

Past

April 2, 2019 - July 14, 2022

CETERA WEALTH SERVICES, LLC

CRD#: 13572

MANHATTAN BEACH, CA

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

California
(8/30/2022)

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 66

Date: 9/12/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/2/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/14/2019

Securities Industry Essentials Examination

Current Firm

MOGUL WEALTH MANAGEMENT, INC.

COOK AND ASSOCIATES | MOGUL WEALTH MANAGEMENT, INC.

CRD#: 144711 / SEC#: 801-68192

RIA

Registered Investment Advisory firm - (5/17/2011 Terminated)

California

Registered Investment Advisory firm - (5/16/2011 Approved)

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).

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Contact information

Main Address

818 Manhattan Beach Boulevard Suite 200, Manhattan Beach, CA 90266

Mailing Address

Phone number

(310) 545-6700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	148
AUM (Assets Under Management)	$ 59,434,043

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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Troy I. Broyles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Troy I Broyles's CRS (Customer Relationship Summary).

Certified licenses

Experience

MOGUL WEALTH MANAGEMENT, INC.

LPL FINANCIAL LLC

CETERA WEALTH SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/12/2019

Series 7TO

Date: 4/2/2019

SIE

Date: 1/14/2019

Current Firm

MOGUL WEALTH MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MOGUL WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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