Neal A. Broidy
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.
Neal Andrew Broidy was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 1980. Neal had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 24, Series 26 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2012 - December 31, 2017
KMS FINANCIAL SERVICES, INC.
October 5, 2012 - December 31, 2017
KMS FINANCIAL SERVICES, INC.
August 7, 1996 - September 28, 2012
LPL FINANCIAL LLC
July 15, 1996 - July 23, 1996
OSAIC WEALTH, INC.
July 13, 1996 - September 28, 2012
LPL FINANCIAL LLC
September 29, 1993 - June 25, 1996
CETERA WEALTH SERVICES, LLC
March 4, 1993 - September 24, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 4, 1993 - September 24, 1993
EQUITABLE VARIABLE LIFE INSURANCE COMPANY
March 4, 1993 - September 24, 1993
EQUITABLE ADVISORS, LLC
February 24, 1992 - February 10, 1993
UNICORP FINANCIAL GROUP
November 14, 1990 - April 22, 1991
EQUITYLINE SECURITIES, INC.
July 18, 1984 - October 10, 1990
B/W MISSION SECURITIES CORPORATION
August 7, 1980 - June 14, 1984
EQUITEC SECURITIES COMPANY
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 1
Date: 7/28/1980
Registered Representative ExaminationCurrent Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
Red Flags
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