Martin W. Mcbroom

MCBROOM & ASSOCIATES

Las Vegas, NV 89134-6375

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CRD#: 822479

Professional summary

Martin Willey Mcbroom, who also goes by Martin W Mcbroom, is a registered financial advisor currently at MCBROOM & ASSOCIATES, LLC located in Las Vegas, Nevada.

Martin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1976. Martin has worked at 10 firms and has passed the Series 65, Series 63, PC, Series 7, Series 53, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Martin W Mcbroom

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 Martin Willey Mcbroom's CRS (Customer Relationship Summary).

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

March 29, 2010 - Present

MCBROOM & ASSOCIATES, LLC

Office #1: 1635 Village Center Cir Ste 140, Las Vegas, NV 89134-6375

RIA

CRD#: 151187

Las Vegas, NV

Past

June 27, 2000 - October 18, 2010

ALLIANCE WARBURG GLOBAL FINANCIAL SERVICES, INC.

CRD#: 43979

LOS ANGELES, CA

Past

February 27, 1996 - June 8, 2010

MARKS MCBROOM WALSTON & COMPANY, INC.

RIA

CRD#: 110567

LOS ANGELES, CA

Past

October 6, 1995 - September 5, 2001

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

March 23, 1989 - October 16, 1995

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 19, 1985 - February 21, 1989

MORGAN STANLEY & CO. LLC

CRD#: 8209

Past

September 14, 1982 - July 12, 1985

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

September 20, 1981 - August 30, 1982

JEFFERIES LLC

CRD#: 2347

Past

October 8, 1980 - September 2, 1981

JEFFERIES EXECUTION SERVICES, INC.

CRD#: 867

Past

May 20, 1976 - October 4, 1980

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MCBROOM & ASSOCIATES, LLC

MCBROOM & ASSOCIATES, LLC | SUNSET FINANCIAL PLANNING, LLC

CRD#: 151187 / SEC#: 801-121225

RIA

Registered Investment Advisory firm - (5/12/2021 Approved)

California

Registered Investment Advisory firm - (5/4/2022 Terminated)

Nevada

Registered Investment Advisory firm - (5/25/2022 Terminated)

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).

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
(3/29/2010)

IAR

Nevada
(10/6/2011)

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: 12/20/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/20/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 9/2/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 5/15/1976

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 5/23/2000

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 3/29/1996

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/4/1996

General Securities Principal Examination

Current Firm

MCBROOM & ASSOCIATES, LLC

MCBROOM & ASSOCIATES, LLC | SUNSET FINANCIAL PLANNING, LLC

CRD#: 151187 / SEC#: 801-121225

RIA

Registered Investment Advisory firm - (5/12/2021 Approved)

California

Registered Investment Advisory firm - (5/4/2022 Terminated)

Nevada

Registered Investment Advisory firm - (5/25/2022 Terminated)

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Contact information

Main Address

1635 Village Center Cir Ste 140, Las Vegas, NV 89134-6375

Mailing Address

Phone number

(702) 267-6649

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MCBROOM ADV PART 2A (3/14/2025)

Regulatory assets under management

Total Number of Accounts	206
AUM (Assets Under Management)	$ 215,244,890

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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Firm Stability Insights

Martin W. Mcbroom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Martin Willey Mcbroom's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLIANCE WARBURG GLOBAL FINANCIAL SERVICES, INC.

MARKS MCBROOM WALSTON & COMPANY, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY & CO. LLC

KIDDER, PEABODY & CO. INCORPORATED

JEFFERIES LLC

JEFFERIES EXECUTION SERVICES, INC.

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

Primary Firm SEC Registration

MCBROOM & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/1994

Series 63

Date: 1/20/1982

PC

Date: 9/2/1977

Series 7

Date: 5/15/1976

Series 53

Date: 5/23/2000

Series 27

Date: 3/29/1996

Series 24

Date: 1/4/1996

Current Firm

MCBROOM & ASSOCIATES, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCBROOM & ASSOCIATES, LLC

TRUST BUT VERIFY

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