Kevin Thomas Broom

Employer firm

Equitable Advisors, LLC CRD 6627

$42.5B regulatory AUM 171,648 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

Equitable Advisors, Llc

1345 Avenue Of The Americas, New York, NY 10105 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2024-03-12

PA RA
APPROVED

Since 2024-03-12

Branch Locations

620 Lowry Avenue, Jeannette, PA 15644 • United States

Sutersville, PA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Pnc Bank	North Huntington	PA	11/2010	01/2024
Ergon Custom Gaming Pcs	Sutersville	PA	09/2020	Present
Equitable Advisors, Llc	New York	NY	02/2024	Present

11/2010 → 01/2024

Pnc Bank

North Huntington, PA
09/2020 → Present

Ergon Custom Gaming Pcs

Sutersville, PA
02/2024 → Present

Equitable Advisors, Llc

New York, NY

Other Businesses

1. Ergon Gaming Pcs, owner, Sutersville PA, since 9/2020, 8 hrs/month.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-01-13
S63	Uniform Securities Agent State Law Examination	2011-11-11

S66 Uniform Combined State Law Examination

2024-01-13
S63 Uniform Securities Agent State Law Examination

2011-11-11

Other Names

Kevin Thomas Broom
Kevin Broom

View on SEC IAPD