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Alec Christian Broughton

Cerity Partners LLC

Louisville, KY

New York, NY

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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

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
Argi Financial Group Louisville KY 01/2018 04/2023
Western Kentucky University Bowling Green KY 09/2014 06/2018
Cerity Partners Louisville KY 04/2023 Present
  • 01/2018 → 04/2023
    Argi Financial Group
    Louisville, KY
  • 09/2014 → 06/2018
    Western Kentucky University
    Bowling Green, KY
  • 04/2023 → Present
    Cerity Partners
    Louisville, KY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-10-13
  • S65 Uniform Investment Adviser Law Examination
    2017-10-13
Designations

View on SEC IAPD

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