James Mitchell Broadway

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2014 → 04/2018
  Wells Fargo Clearing Services, Llc
  Alpharetta, GA
• 04/2018 → Present
  Raymond James Financial Services, Inc.
  Roswell, GA
• 04/2018 → Present
  Raymond James Financial Services Advisors, Inc.
  Roswell, GA

Previous Registrations

• 2015-08-11 → 2018-04-27
  Wells Fargo Clearing Services, Llc
  Alpharetta, GA

Other Businesses

(1)Name of Business: Broadway Financial Group, LLC Address: 200 Macy Drive, Roswell, GA, 30076, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 04/24/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Financial Advisor (2)Name of Business: Roswell 4 Freedom Address: 200 Macy Drive, Roswell, GA, 30075, United States Activity Type: Support Company - Non Owner Position/Title: Other Investment Related: No Start Date: 04/24/2018 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-07-30
• S63 Uniform Securities Agent State Law Examination
  2015-07-16

Other Names

• Jim Broadway
• James Mitchell Broadway
• James Mitchell Broadway