James Earl Broaddus

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-07-10

TX RA
APPROVED

Since 2025-07-10

Branch Locations

Clute, TX • 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
Next Financial Group Inc	Lake Jackson	TX	11/2007	07/2025
Lpl Financial Llc	Clute	TX	07/2025	Present

11/2007 → 07/2025

Next Financial Group Inc

Lake Jackson, TX
07/2025 → Present

Lpl Financial Llc

Clute, TX

Previous Registrations

2013-11-20 → 2025-07-10

Next Financial Group, Inc.

Lake Jackson, TX

Clute, TX

Other Businesses

1. 07/10/2025- Pregnancy Help Center-Non-profit volunteer (not on board)- Not INV Related- At Lake Jackson, TX- Start date 10/15/2005- 3 Hours Per Month 2. 07/10/2025- J. E. Broaddus Investments- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 09/01/2001- 10 Hours Per Month- 10 Hours During Trading 3. 07/10/2025- J. E. Broaddus Investments- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 06/01/2002- 160 Hours Per Month- 160 Hours During Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-11-20
S63	Uniform Securities Agent State Law Examination	2002-06-26

S65 Uniform Investment Adviser Law Examination

2013-11-20
S63 Uniform Securities Agent State Law Examination

2002-06-26

View on SEC IAPD