Awni-Ming Broughton has been an investment adviser representative at Channel Wealth since May 2026, and is not listed among the firm’s executive officers or direct owners.
Channel Wealth, LLC is a Santa Barbara, CA firm with $851M under management, 2,019 clients and 8 advisers across 2 offices, as of its April 2026 filing.
- Channel Wealth, LLCCurrent– present · under a yearSanta Barbara, CA · Adviser representative · Firm CRD 323461
Investment adviser representative registrations
Awni-Ming Broughton is registered as an investment adviser representative in California, since May 2026.
- CaliforniaSince 27 May 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 26 May 2026 |
| SIE | Securities Industry Essentials Examination | 26 February 2026 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Awni-Ming Resurreccion Broughton
- CRD
- 8244765
- Firm
- Channel Wealth · CRD 323461
- Office
- 3760 STATE STREET, SUITE 201, Santa Barbara, CA 93105
- Registration
- Investment adviser registration
- In the industry since
- May 2026
- Disciplinary history
- Not yet shown here · SEC record
Where does Awni-Ming Broughton work?
Awni-Ming Broughton is an investment adviser representative registered through Channel Wealth, LLC since May 2026, and is not listed among the firm’s executive officers or direct owners.
Is Awni-Ming Broughton a financial advisor?
Yes. Awni-Ming Broughton has a current investment-adviser registration in California, through Channel Wealth since May 2026.
How many years of experience does Awni-Ming Broughton have?
Awni-Ming Broughton has 0 years in the financial industry, since May 2026, across 1 adviser firm.
What exams has Awni-Ming Broughton passed?
Awni-Ming Broughton has passed 2 licensing exams: the SIE and Series 65. The earliest, the SIE, was passed in February 2026.
Where is Awni-Ming Broughton based?
Awni-Ming Broughton’s registered office is in Santa Barbara, CA.
Is Awni-Ming Broughton registered with FINRA?
No. Awni-Ming Broughton has no current broker registration.
How can I verify Awni-Ming Broughton’s record?
Search CRD 8244765 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Awni-Ming Broughton’s full registration record.
