Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Geoffrey? Claim Your ProfileGeoffrey Broughton is a financial professional with over 25 years of experience in the industry. Geoffrey is currently registered with MM Ascend Life Investor Services, LLC and is located in Cincinnati, OH. Previous experience includes a position with Fidelity Brokerage Services, INC. Geoffrey holds a Series 63, Series 7 and SIE license.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Maintaining registration but not actively providing advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Maintaining registration but not serving clients
1
2
OH
11/05/1997 - Present
MM Ascend Life Investor Services, LLC (CINCINNATI OH)
RI
06/18/1997 - 10/20/1997
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BC
Issued 06/20/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/17/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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