Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Troy? Claim Your ProfileTroy Broughman is a financial professional with over 30 years of experience in the industry. Troy currently works at Robert W. Baird & Co. Inc., a firm with over 3,300 employees and $287 billion in assets under management. Previously, Troy has worked for a number of other firms, including Cantor Fitzgerald & Co., Canaccord Genuity Inc., and BNP Paribas Securities Corp. Troy is licensed in a number of states, including California, Florida, Illinois, and New York. Troy holds the Series 7, Series 55, Series 57TO, and SIE licenses. Troy specializes in portfolio management for businesses, individuals, and investment companies.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
WI
11/21/2023 - Present
Robert W. Baird & Co. Inc. (MILWAUKEE WI)
FL
04/01/2019 - 11/13/2023
CANTOR FITZGERALD & CO. (NAPLES FL)
NJ
09/25/2014 - 04/15/2019
ROBERT W. BAIRD & CO. INCORPORATED (ROSELAND NJ)
NY
06/03/2013 - 09/11/2014
CANACCORD GENUITY INC. (NEW YORK NY)
NY
04/09/2013 - 05/21/2013
MAXIM GROUP LLC (NEW YORK NY)
NY
06/07/2011 - 12/10/2012
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
05/11/2009 - 06/13/2011
PIPER JAFFRAY & CO. (NEW YORK NY)
NJ
04/28/2008 - 05/12/2009
ICAP CORPORATES LLC (JERSEY CITY NJ)
NY
12/06/2007 - 04/28/2008
NEW VERNON SECURITIES, LLC (NEW YORK NY)
NY
10/10/2000 - 03/26/2007
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NJ
03/29/1999 - 10/10/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
MD
06/18/1998 - 04/13/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NY
07/06/1995 - 06/19/1998
UBS SECURITIES LLC (NEW YORK NY)
NY
10/25/1989 - 01/17/1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 10/28/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/30/2009
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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