Brent Robert Broaddus

Current Employers

Employment History

• 09/2009 → 11/2019
  First Allied Securities, Inc.
  San Diego, CA
• 09/2009 → Present
  Win Team Insurance Services, Inc. Dba Win Team Advisory Services
  Lake Forest, CA
• 11/2009 → 11/2019
  First Allied Securities, Inc.
  Chesterfield, MO
• 11/2019 → Present
  Jw Cole Financial
  Tampa, FL
• 11/2019 → Present
  J.W. Cole Advisors, Inc
  Tampa, FL
• 05/2008 → Present
  Aloha Bliss
  Costa Mesa, CA
• 09/2009 → Present
  Brent Broaddus, Sole Proprietor
  Irvine, CA
• 07/2022 → Present
  Alpine Star Wealth Management
  Irvine, CA
• 02/2024 → Present
  Sandbaggers Golf Club
  Sherman Oaks, CA

Previous Registrations

• 2012-07-02 → 2019-11-04
  First Allied Advisory Services, Inc.
  Chesterfield, MO
  Irvine, CA
  Irvine, CA
• 2009-11-20 → 2012-07-02
  First Allied Securities, Inc.
  Irvine, CA
• 2009-06-19 → 2009-10-07
  Newport Wealth Advisors, Inc.
  Newport Beach, CA
• 2008-01-04 → 2008-12-31
  Newport Wealth Advisors, Inc.
  Newport Beach, CA
• 2007-10-08 → 2007-12-31
  Newport Wealth Advisors, Inc.
  Newport Beach, CA
  Newport Beach, CA
• 2005-01-01 → 2007-08-28
  Ameriprise Financial Services, Llc
  Irvine, CA
  Glendale, CA

Other Businesses

(1) ALOHA BLISS; NOT INVESTMENT RELATED; 1984 FEDERAL AVE, COSTA MESA, CA 92627; HAWAIIAN MERCHANDISER SALES; CO OWNER; 05/01/2008; 20-40 HOURS PER MONTH; 0 HOURS DEVOTED DURING TRADING HOURS; SETUP/BREAKDOWN AT FESTIVALS/SALES. (2) BROADDUS FAMILY TRUST; NOT INVESTMENT RELATED; 1984 FEDERAL AVE, COSTA MESA, CA 92627; TRUSTEE; TRUSTEE; 09/01/2007. 2 HOURS PER MONTH DEVOTED; 1 HOUR PER MONTH DEVOTED DURING TRADING HOURS. (3) WIN-TEAM ADVISORY SERVICES/INSURANCE SERVICES; INVESTMENT RELATED; 560 WALD, IRVINE,CA 92618; INVESTMENTS/INSURANCE; FINANCIAL ADVISOR; 10/27/08; 80/160 HOURS PER MONTH DEVOTED; 80/160 HOURS DEVOTED PER MONTH DURING TRADING HOURS; INVESTMENTS/ACCOUNT MGMT/CLIENT SERVICES. (4) ALPINESTAR WEALTH MANAGEMENT; PAYROLL/401(K)/NQDC PLAN; NON-NVESTMENT RELATED; 560 WALD, IRVINE,CA 92618; PRESIDENT/OWNER; 07/01/2022 0 HOURS DEVOTED PER MONTH DURING TRADING HOURS (5) Sandbaggers Golf Club; Non-investment related; Management of monthly golf club; President/Handicap Chairman; Management and operation of monthly golf club, Will have access and control of bank account to handle member tournament dues, and disclosure tournament winnings; Start 2/1/24; 0 hours during trading. (6) J.W. Cole Financial, Inc.; Tampa, FL; Investment Related; Registered Representative; Started 11/2019; Broker/Dealer Product Sales and Supervision; 10% of time spent. (7) J.W. Cole Advisors, Inc.; Tampa, FL; Investment Related; Investment Advisor Representative; Started 11/2019; Investment Advisory Services; 50% of time spent. (8) Brent Broaddus, Sole Proprietor; Irvine, CA; Investment Related; Insurance Agent; Fixed Insurance Sales; Started 09/2009; Approximately 1% of time spent. (9) POA, Trustee and Executor for Christine Broaddus

Exams

• S66 Uniform Combined State Law Examination
  2004-12-30