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Matthew Lowell Broch

Raymond James & Associates, Inc.

Athens, IL

Springfield, IL

CRD 4461945

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Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
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
OrganizationCityStateFromTo
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
Previous Registrations
Exams
CodeExamDate
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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