Paul Kent Broughton

Current Employers

Employment History

• 03/2012 → Present
  The Broughton Investment Group, Inc.
  Houston, TX

Previous Registrations

• 2005-01-13 → 2011-02-14
  Cetera Investment Advisers Llc
  Houston, TX

Other Businesses

Mr. Broughton is not actively or passively engaged in any other investment- related business or occupation. However, Mr. Broughton provides financial bookkeeping for a small marine supply business, which he owns a minority interest of 20%, and devotes no more than five (5) hours per seven (7) day period. He receives hourly pay as a 1099 contractor. No conflict of interest is present or will arise from this part-time duty and does not affect his ability to provide full-time management to his investment advisory duties for his clients. Mr. Broughton also owns a 100% interest in the restaurant Cantina Laredo in Houston and devotes no more than five (5) hours per seven (7) day period. No conflict of interest is present or will arise from this part-time duty and does not affect his ability to provide full-time management to his investment advisory duties for his clients. Mr. Broughton also owns a 51% interest in PADNA Land Management, a small real estate investment company, and devotes no more than five (5) hours per seven (7) day period. No conflict of interest is present or will arise from this part-time duty and does not affect his ability to provide full-time management to his investment advisory duties for his clients.

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-01-10
• S63 Uniform Securities Agent State Law Examination
  1997-11-14