Robert S. Brodsky
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.
Robert S. Brodsky, who also goes by Robert Steven Brodsky, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2022 - December 23, 2024
LPL FINANCIAL LLC
August 16, 2022 - December 23, 2024
LPL FINANCIAL LLC
March 18, 2022 - August 2, 2022
WELLS FARGO CLEARING SERVICES, LLC
March 18, 2022 - August 2, 2022
WELLS FARGO CLEARING SERVICES, LLC
November 1, 2018 - November 16, 2021
CHARLES SCHWAB & CO., INC.
October 31, 2018 - November 16, 2021
CHARLES SCHWAB & CO., INC.
July 7, 2016 - April 13, 2017
CITIZENS SECURITIES, INC.
July 7, 2016 - April 13, 2017
CITIZENS SECURITIES, INC.
August 15, 2008 - June 19, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 15, 2008 - June 19, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 4, 2005 - August 22, 2008
UBS FINANCIAL SERVICES INC.
October 10, 1990 - August 22, 2008
UBS FINANCIAL SERVICES INC.
August 10, 1989 - May 22, 1990
KIDDER, PEABODY & CO. INCORPORATED
February 6, 1989 - August 16, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
January 23, 1986 - March 8, 1988
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Series 8
Date: 1/22/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
