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Stephanie L Broughton

Cerity Partners LLC

New York, NY

Louisville, KY

Cerity Partners Retirement Plan Consultants

New York, NY

Louisville, KY

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Current Employers
Cerity Partners Llc

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2023-04-30
  • KY RA
    APPROVED
    Since 2023-04-30

Branch Locations

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

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

Cerity Partners Retirement Plan Consultants

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2023-04-25
  • KY RA
    APPROVED
    Since 2023-04-25

Branch Locations

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

2201 High Wickham Place, Louisville, KY 40245 • 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
Argi Financial Group/Investment Services Louisville KY 08/2009 04/2023
Cerity Partners Louisville KY 04/2023 Present
  • 08/2009 → 04/2023
    Argi Financial Group/Investment Services
    Louisville, KY
  • 04/2023 → Present
    Cerity Partners
    Louisville, KY
Previous Registrations
Other Businesses

Business: Broughton, LLC; Investment-related: No; Address: Mt. Washington, KY; Nature of Business: High Performance Coaching; Position/Title: Owner; Start Date: 2/4/2025; Number of Hours: 4 hours per month outside of securities trading hours; Duties: Life Coach

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-09-30
  • S65 Uniform Investment Adviser Law Examination
    2022-09-30

View on SEC IAPD

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