Best Investors Account Sign in
Inactive

Sean Broughton

Cerity Partners LLC

Louisville, KY

New York, NY

Claim This Profile
Current Employers
Cerity Partners Llc

99 Park Avenue 16Th Floor, New York, NY 10016 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2026-07-07
  • KY RA
    APPROVED
    Since 2026-07-07

Branch Locations

2201 High Wickham Place, Louisville, KY 40245 • United States

99 Park Avenue 16Th Floor, New York, NY 10016 • 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
OrganizationCityStateFromTo
Walmart Clarksville IN 07/2020 10/2020
Axiom Financial Strategies Group New Albany IN 06/2023 08/2023
Cerity Partners Llc New York NY 06/2024 08/2024
Cerity Partners Llc New York NY 06/2025 08/2025
Cerity Partners Llc New York NY 07/2026 Present
Full-Time Education New Albany IN 07/2016 05/2026
  • 07/2020 → 10/2020
    Walmart
    Clarksville, IN
  • 06/2023 → 08/2023
    Axiom Financial Strategies Group
    New Albany, IN
  • 06/2024 → 08/2024
    Cerity Partners Llc
    New York, NY
  • 06/2025 → 08/2025
    Cerity Partners Llc
    New York, NY
  • 07/2026 → Present
    Cerity Partners Llc
    New York, NY
  • 07/2016 → 05/2026
    Full-Time Education
    New Albany, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-04-09
  • S65 Uniform Investment Adviser Law Examination
    2026-04-09

View on SEC IAPD

Other Firms

RAYMOND JAMES & ASSOCIATES, INC.
MORGAN STANLEY
WAYCROSS GP, LLC
WAYCROSS PARTNERS, LLC
PNC WEALTH MANAGEMENT LLC
KESTRA ADVISORY SERVICES, LLC
LPL FINANCIAL LLC
LANIER ASSET MANAGEMENT, LLC

Other Investors

REBECCA ANN LOVAN
Donald R Dentinger
MAYNARD EDWIN HOPPER
DEONNA STARGEL COLVIN
James Earl Groves
WHITNEY B WOODFORD
Bruce Mckiernan White
WILLIAM JOHNATHAN HENDERSON

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · LOUISVILLE, KY
MORGAN STANLEY · Louisville, KY
WAYCROSS GP, LLC · LOUISVILLE, KY
WAYCROSS PARTNERS, LLC · LOUISVILLE, KY
PNC WEALTH MANAGEMENT LLC · Louisville, KY
KESTRA ADVISORY SERVICES, LLC · Louisville, KY
LPL FINANCIAL LLC · LOUISVILLE, KY
LPL FINANCIAL LLC · LOUISVILLE, KY

More in Louisville, KY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor