John C. Broderick
ROCKEFELLER CAPITAL MANAGEMENT | Managing Director
Park City, UT
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CRD#: 1470736
Professional summary
John Christopher Broderick, who also goes by Jack Broderick, John Broderick, is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Park City, Utah and ROCKEFELLER FINANCIAL LLC located in Park City, Utah.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. John has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10, Series 8 and Series 24 exams.
Question & Answer
What are your service offerings?
Trust & estate planning
Trading individual securities
Loans/credit services
Financial planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
2M
Are you a "fiduciary"?
Yes
Aliases
Jack Broderick | John Broderick
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. MJK Investment Holdings LLC; 1302 Lucky John Dr. Park City UT 84060; Investment vehicle for Spousal Lifetime Trust; Manager; Investments; 09/11/2023; 1.00hr/week; Not during securities trading hours; Investment-Related 2. HR Mutual Water Company; PO Box 681722 Park City UT 84068; manage maintenance of neighborhood's water ditches and network; Vice President. Title only. One of 5 board members; Attend board meeting. Review building plan with other board member to ensure water rights of member not impeded; 04/01/2024; 2.00hrs/quarter; Not during securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view John Christopher Broderick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Christopher Broderick's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 14, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
RIA
CRD#: 294197
Park City, UT
Current
February 14, 2025 - Present
ROCKEFELLER FINANCIAL LLC
RIA
BD
CRD#: 291361
Park City, UT
Current
February 14, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Past
December 4, 2015 - March 4, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
PARK CITY, UT
Past
December 4, 2015 - March 4, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
PARK CITY, UT
Past
December 12, 2011 - December 4, 2015
BARCLAYS CAPITAL INC.
RIA
CRD#: 19714
NEW YORK, NY
Past
December 12, 2011 - December 4, 2015
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
April 2, 2008 - January 5, 2012
CREDIT SUISSE SECURITIES (USA) LLC
RIA
CRD#: 816
NEW YORK, NY
Past
September 25, 1996 - January 5, 2012
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
August 25, 1988 - September 6, 1996
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/14/2025)
RR
California(2/14/2025)
RR
Colorado(2/14/2025)
RR
Connecticut(2/14/2025)
RR
Delaware(2/14/2025)
RR
District of Columbia(2/14/2025)
RR
Florida(2/14/2025)
RR
Idaho(2/14/2025)
RR
Illinois(2/14/2025)
RR
Louisiana(2/14/2025)
RR
Maryland(2/14/2025)
RR
Massachusetts(2/14/2025)
RR
Minnesota(2/14/2025)
RR
New Jersey(2/14/2025)
RR
New York(2/14/2025)
IAR
New York(2/14/2025)
RR
North Carolina(2/14/2025)
RR
Ohio(2/14/2025)
RR
Pennsylvania(2/14/2025)
RR
Rhode Island(2/14/2025)
RR
South Carolina(2/14/2025)
RR
Tennessee(2/14/2025)
RR
Texas(2/14/2025)
IAR
Texas(2/14/2025)
RR
Utah(2/14/2025)
IAR
Utah(3/17/2025)
RR
Virginia(2/14/2025)
RR
Washington(2/14/2025)
RR
Wyoming(2/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/9/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Mailing Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Phone number
(212) 549-5100
Established
Delaware since 10/20/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
824
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
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.
Company Information
ROCKEFELLER FINANCIAL LLC
Managing DirectorCRD#: 291361Park City, UTTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
