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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2021-01-25 |
Branch Locations
1600 Rainbow Blvd, Excelsior Springs, MO 64024 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Broadbent Inc. (1120) With 100% Ownshp) | Excelsior Springs | MO | 01/1991 | Present |
| Broadbent, Houts & Co Pc | Excelsior Springs | MO | 07/1992 | Present |
| 1St Global Capital Corp. | Excelsior Springs | MO | 04/2006 | 10/2019 |
| 1St Global Advisors, Inc. | Excelsior Springs | MO | 04/2006 | 10/2019 |
| Avantax Insurance Services, Inc. | Excelsior Springs | MO | 06/2007 | 01/2021 |
| Avantax Advisory Services | Excelsior Springs | MO | 10/2019 | 01/2021 |
| Avantax Investment Services, Inc. | Excelsior Springs | MO | 10/2019 | 01/2021 |
| Lpl Financial Llc | Excelsior Springs | MO | 01/2021 | Present |
1)01/21/2021 - Broadbent, Houts & Co., PC - Tax Prep/Accounting/CPA - Inv Rel - At Reported Business Location(s) - Start: 07/1991 - 200 Hr/Mth 2)01/21/2021 - Real Estate Rental - Excelsior Springs, MO - Inv Rel - Start: 09/1997 - 2 Hr/Mth 3) 10/28/2021 - Broadbent, Inc. - DBA: Family wealthcare center - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/12/2020 - 20 Hours Per Month/1 Hour During Securities Trading. 4) 11/19/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary service - Started 11/05/1991 - 0 Hours Per Month.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-10-07 |
| S63 | Uniform Securities Agent State Law Examination | 1991-10-23 |
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