Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Matthew Broughton is an active Registered Representative with Wells Fargo Clearing Services, LLC in INDIANAPOLIS, IN. John has been in the financial services industry since 1999. He has experience working with individual and institutional clients. John is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). He holds Series 7 and Series 66 licenses, and has earned the Certified Financial Planner designation. John provides portfolio management services to both individual and business clients. He also offers financial planning and investment consulting services to institutional clients. John’s previous experience includes working with Fifth Third Securities, Inc. and Northwestern Mutual Investment Services, LLC.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IN
01/03/2011 - Present
Wells Fargo Clearing Services, LLC (INDIANAPOLIS IN)
IN
10/03/2008 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (INDIANAPOLIS IN)
IN
01/24/2002 - 10/09/2008
FIFTH THIRD SECURITIES, INC. (INDIANAPOLIS IN)
WI
08/14/1999 - 02/08/2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)
WI
08/14/1999 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BOTH
Issued 12/01/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/30/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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