Matthew Lowell Broch

Raymond James & Associates, Inc.

Springfield, IL

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Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2025-06-02

IL RA
APPROVED

Since 2025-06-02

Branch Locations

Athens, IL • United States

2532 Farragut Dr Ste #1, Springfield, IL 62704 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors	Springfield	IL	09/2011	11/2016
Wells Fargo Clearing Services, Llc	Springfield	IL	11/2016	06/2025
Raymond James & Associates, Inc.	Springfield	IL	06/2025	Present

09/2011 → 11/2016

Wells Fargo Advisors

Springfield, IL
11/2016 → 06/2025

Wells Fargo Clearing Services, Llc

Springfield, IL
06/2025 → Present

Raymond James & Associates, Inc.

Springfield, IL

Previous Registrations

2011-09-30 → 2025-06-09

Wells Fargo Clearing Services, Llc

Springfield, IL
2009-06-01 → 2011-10-17

Morgan Stanley

Springfield, IL

Springfield, IL
2007-08-03 → 2009-06-01

Citigroup Global Markets Inc.

Springfield, IL
2002-09-30 → 2007-08-08

A. G. Edwards & Sons, Inc.

Lincoln, IL

Lincoln, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-09-24
S63	Uniform Securities Agent State Law Examination	2002-06-06

S66 Uniform Combined State Law Examination

2002-09-24
S63 Uniform Securities Agent State Law Examination

2002-06-06

Other Names

Matt Broch

View on SEC IAPD

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