Ronald K. 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.
Ronald Kerr Brodrick II, who also goes by Ron Brodrick, Ronald K Brodrick II, Ronald K Brodrick, Ronald Kerr Brodrick 2nd, Ronald Kerr Brodrick Ii, Ronald Kerr Ii Brodrick, Ronald Kerr Brodrick, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 2012. Ronald had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2017 - December 26, 2017
SCOTTRADE INVESTMENT MANAGEMENT
February 21, 2017 - December 26, 2017
SCOTTRADE, INC.
August 28, 2014 - July 8, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
August 28, 2014 - July 8, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
January 22, 2013 - June 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 22, 2012 - June 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
Red Flags
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