Gregory Broadbent
Advisor at LPL Financial
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
LPL Financial
Location
Excelsior Springs, MO 64024
Credentials
Series 63, Series 66
Industry experience
5 years
About
Gregory Broadbent is a financial advisor with LPL Financial, holding Series 63 and Series 66 licenses and five years of industry experience. He has previously worked with Avantax Insurance Services, Avantax Advisory Services, and Avantax Investment Services, and has been involved with the Family WealthCare Center since 2017. Outside of his advisory work, he has a role with the Excelsior Springs School District. LPL Financial provides advisory and brokerage services to a diverse client base, including individual investors, retirement plans, institutions, charities, and high-net-worth households. The firm offers a range of investment solutions supported by an in-house research team and combines advisory operations with insurance, credit, and lending products.
Client services
Based on LPL Financial
Financial planning
Portfolio management
Educational seminars or workshops
Consulting and other non-discretionary advisory services
Consulting and other non-discretionary advisory services
Expertise
Based on LPL Financial
Wealth management
Retirement plans for business owners (SEP, solo 401k)
College savings (529s, UTMA, etc.)
Fee options
Financial planning and consulting services fees may be flat fees up to $10,000, negotiated between client and IAR.
Clients may pay commissions, markups, markdowns, and transaction charges for brokerage services; commissions apply particularly if LPL acts as broker-dealer.
Financial planning and consulting services fees may be hourly, up to $500 per hour.
Location
1600 Rainbow Blvd
Excelsior Springs, MO 64024
Most active in
Gregory B has reported serving >5 clients in these states in the last 12 months.
Missouri
Work history
LPL Financial
2021 - Present (5 years)
Avantax Insurance Services, Inc.
2020 - 2020 (1 year)
Avantax Advisory Services
2020 - 2020 (1 year)
Avantax Investment Services, Inc.
2020 - 2020 (1 year)
Family WealthCare Center
2017 - Present (9 years)
Excelsior Springs School District
2015 - Present (11 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
Anthony C
Series 63, Series 65
Liberty, MO
First Class Capital
Andrew S
Series 66
Kansas City, MO
Tax Favored Retirement
Douglas G
Series 65
Kansas City, MO
Tax Favored Retirement
Ryan B
Series 63, Series 65, Series 66
Kearney, MO
The Jamison Edward Group
Theodore P
Series 63, Series 66
Kansas City, MO
Tax Favored Retirement
Julia N
Series 65, Series 66
Kearney, MO
The Jamison Edward Group
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