Broad Basis — Plano, TX
Marketing Brand5717 Legacy Drive, Suite 250, Plano, TX 75024. 972-491-9047 · admin@broadbasis.com · Account View · Broad Basis | Financial Services Home. Menu. Broad Basis ... Operating under LPL FINANCIAL LLC (CRD #6413).
Why This Matters
A marketing brand is the name a financial advisor uses with clients. It is often different from the SEC-registered firm that is legally responsible for their conduct and your money.
When you search for “Broad Basis,” you won't find it on the SEC or FINRA websites. That's because the regulatory entity is LPL FINANCIAL LLC. Any disclosures, complaints, or regulatory actions are filed under the firm — not the brand.
Source: SEC Form ADV filings and FINRA BrokerCheck
The Relationship
LPL FINANCIAL LLC
CRD 6413 · Dual
Brand Information
Inherited Transparency Score
Marketing brands inherit the transparency score of their registered parent firm. This score is not specific to Broad Basis — it reflects the regulatory profile of LPL FINANCIAL LLC.
What This Means
The firm behind this brand has notable transparency gaps in their regulatory filings. We recommend reviewing the firm's fee structure and conflict disclosures before making decisions.
This places them in the 0th percentile of all scored firms.
This firm's regulatory filings leave significant questions unanswered. Review the full firm profile — including its fee structure and conflict disclosures — before making decisions.
See full score breakdownRegulatory Context
Regulatory oversight is under LPL FINANCIAL LLC
Any complaints, disclosures, or disciplinary actions are filed against the registered firm — not the marketing brand. Always check the firm's record, not just the brand name.
1 of 27,832 firm advisors use this brand
LPL FINANCIAL LLC has 27,832 total registered advisors. Only 1 operates under the Broad Basis brand name.
Verify before you trust
A polished brand name doesn't guarantee quality advice. Check the firm's full regulatory profile and each advisor's individual score before making decisions.
Advisors Under This Brand(1)
These advisors use the Broad Basis brand name with their clients. Each has their own individual transparency score based on their personal regulatory record.