Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Julie? Claim Your ProfileJulie Annette Broady has been in the financial industry since August 11, 2000. Julie is currently registered as a Registered Representative with Kingswood Wealth Advisors, LLC. Previously, Julie was a Registered Representative with B. Riley Wealth Management, National Securities Corporation, Independent Financial Group, LLC, Financial West Group, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Prudential Securities Incorporated. Julie is licensed in California.
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.
Hourly consulting
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.
A percentage of the total value of assets under management is charged.
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CA
11/07/2022 - Present
Kingswood Wealth Advisors, LLC (SAN DIEGO CA)
CA
07/22/2022 - 11/09/2022
B. RILEY WEALTH MANAGEMENT (Manhattan Beach CA)
CA
01/15/2014 - 07/22/2022
NATIONAL SECURITIES CORPORATION (Manhattan Beach CA)
CA
11/21/2008 - 01/21/2014
INDEPENDENT FINANCIAL GROUP, LLC (SANTA MONICA CA)
NV
03/08/2005 - 11/13/2008
FINANCIAL WEST GROUP (RENO NV)
NY
01/05/2001 - 03/05/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/07/1998 - 01/09/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 07/01/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/25/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/17/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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