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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

FREDDIE LATRON BROADWAY

Advisor at VANGUARD ADVISERS, INC.

PLANO, TX

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Search this name across graphsid dfx:ria:ef61b77b-f29f-df87-c0ad-7cbddaab4210

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Dec 15, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: VANGUARD ADVISERS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 15, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S66
First exam: Aug 6, 2024
First registration: Dec 15, 2009
Dual registered: yes, broker-dealer
Other names: FREDDIE L BROADWAY|FREDDIE BROADWAY
IAPD individual key: 5714735

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VANGUARD ADVISERS, INC.	Bd affiliated wealth	May 19, 2026	n/a	yes	PLANO, TX	Current employment
FISHER INVESTMENTS	Independent wealth	Aug 7, 2024	Dec 2, 2025	no	PLANO, TX	Previous registration
CAPITAL ONE ADVISORS, LLC	Former SEC adviser	Sep 11, 2017	Mar 12, 2019	no	Plano, TX\|MCLEAN, VA	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Oct 1, 2013	Apr 8, 2016	no	ADDISON, TX	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Mar 18, 2013	no	BATON ROUGE, LA\|BATON ROUGE, LA\|BATON ROUGE, LA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Oct 8, 2010	Oct 1, 2012	no	BATON ROUGE, LA\|BATON ROUGE, LA\|BATON ROUGE, LA\|BATON ROUGE, LA\|BATON ROUGE, LA	Previous registration
EDWARD JONES	National bd RIA	Dec 15, 2009	Jul 22, 2010	no	ST LOUIS, MO\|MONROE, LA\|MONROE, LA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FISHER INVESTMENTS	VANGUARD ADVISERS, INC.	Dec 2, 2025	May 19, 2026	168	Firm change	RIA to ibd
CAPITAL ONE ADVISORS, LLC	FISHER INVESTMENTS	Mar 12, 2019	Aug 7, 2024	1,975	Firm change after gap	Other
USAA FINANCIAL PLANNING SERVICES	CAPITAL ONE ADVISORS, LLC	Apr 8, 2016	Sep 11, 2017	521	Firm change after gap	Other
J.P. MORGAN SECURITIES LLC	USAA FINANCIAL PLANNING SERVICES	Mar 18, 2013	Oct 1, 2013	197	Firm change	Wirehouse to new firm
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
EDWARD JONES	CHASE INVESTMENT SERVICES CORP.	Jul 22, 2010	Oct 8, 2010	78	Firm change	Other

Relationships

Registered with (7)

→ VANGUARD ADVISERS, INC.Registered adviserregistration: current employment
May 19, 2026 to presentfactForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Aug 7, 2024 to Dec 2, 2025factForm ADV
→ CAPITAL ONE ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 11, 2017 to Mar 12, 2019factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Oct 1, 2013 to Apr 8, 2016factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Mar 18, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Oct 8, 2010 to Oct 1, 2012factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Dec 15, 2009 to Jul 22, 2010factForm ADV

Dated events

Occurred
Dec 2, 2025
Advisor changed firm
Freddie Latron Broadway left Fisher Investments for Vanguard Advisers, Inc. (registered 2026-05-19)
Form ADVobserved 6 days ago