Marjorie A. Brodrick
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Marjorie Andreason Brodrick, who also goes by Marjorie Andreason, Marge L Brodrick, was a registered financial professional .
Marjorie is a previously registered financial professional and started their career in finance in 1982. Marjorie had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2018 - July 5, 2018
USAA INVESTMENT SERVICES COMPANY
August 30, 2006 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
August 9, 2006 - July 3, 2018
USAA FINANCIAL ADVISORS, INC.
June 15, 2005 - June 27, 2006
IDS LIFE INSURANCE COMPANY
June 15, 2005 - June 27, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
May 6, 2004 - March 11, 2005
VANGUARD ADVISERS, INC.
March 26, 2004 - March 11, 2005
VANGUARD MARKETING CORPORATION
January 30, 1998 - March 10, 2004
CHARLES SCHWAB & CO., INC.
June 1, 1989 - December 1, 1997
AVANTAX INVESTMENT SERVICES, INC.
January 25, 1988 - May 30, 1989
PLANNED INVESTMENTS INC.
December 24, 1987 - January 27, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
December 5, 1986 - December 24, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
December 21, 1982 - December 15, 1986
SECURITIES RESOURCE GROUP, LTD.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
