Thomas A. Broadbent

SILVER LEAF PARTNERS

New York, NY 10019

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CRD#: 1576244

Professional summary

Thomas Anthony Broadbent, who also goes by Thomas Anthony Broadbent Jr, Tom Broadbent, is a registered financial professional currently at SILVER LEAF PARTNERS, LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1986. Thomas has worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Anthony Broadbent Jr | Tom Broadbent

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Anthony Broadbent'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®

None

Experience

Current

August 29, 2024 - Present

SILVER LEAF PARTNERS, LLC

Office #1: 3 Columbus Circle Floor 15, New York, NY 10019

CRD#: 126694

New York, NY

Past

December 27, 2021 - October 3, 2022

TRADEPRO SECURITIES, LLC.

CRD#: 103781

LAWRENCEVILLE, GA

Past

October 21, 2015 - January 10, 2020

REVERE MERCHANT SECURITIES, LLC

CRD#: 171843

New York, NY

Past

March 3, 2015 - October 7, 2015

REVERE SECURITIES LLC

CRD#: 14178

NEW YORK, NY

Past

December 16, 2010 - March 21, 2013

EMERALD POINT CAPITAL, LLC

CRD#: 132014

OAKDALE, NY

Past

January 17, 2006 - January 27, 2009

HEDGE HARBOR INC.

CRD#: 44324

NEW YORK, NY

Past

March 5, 2004 - November 17, 2005

REFCO SECURITIES, LLC

CRD#: 14094

NEW YORK, NY

Past

March 6, 2002 - October 30, 2002

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

July 1, 1999 - April 10, 2000

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

December 4, 1996 - June 18, 1999

FEDERATED SECURITIES CORP.

CRD#: 5009

PITTSBURGH, PA

Past

July 20, 1994 - March 8, 1995

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

March 5, 1987 - January 26, 1988

JOHNSON, LANE, SPACE, SMITH & CO., INC.

CRD#: 472

Past

November 21, 1986 - February 10, 1987

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New Jersey
(8/30/2024)

New York
(8/30/2024)

Exams

State Security Law Exam

Series 63

Date: 7/20/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/16/1994

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SILVER LEAF PARTNERS, LLC

CRD#: 126694 / SEC#: , 8-65902

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

3 Columbus Circle Floor 15, New York, NY 10019

Mailing Address

3 Columbus Circle Floor 15, New York, NY 10019

Phone number

(212) 632-8421

Established

New York since 01/15/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
KHAN, M. FYZUL	CEO/CCO/MANAGING MEMBER	3103833
LESHER, JAMES ELAM	POO	1044046
TAO, BING QIN	FINOP/PFO	6253793

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Thomas A. Broadbent

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Anthony Broadbent's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRADEPRO SECURITIES, LLC.

REVERE MERCHANT SECURITIES, LLC

REVERE SECURITIES LLC

EMERALD POINT CAPITAL, LLC

HEDGE HARBOR INC.

REFCO SECURITIES, LLC

OSAIC FS, INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

FEDERATED SECURITIES CORP.

FIDELITY DISTRIBUTORS COMPANY LLC

JOHNSON, LANE, SPACE, SMITH & CO., INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/20/1994

SIE

Date: 10/1/2018

Series 7

Date: 7/19/1994

Series 24

Date: 11/16/1994

FINRA

Current Firm

SILVER LEAF PARTNERS, LLC

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SILVER LEAF PARTNERS, LLC

TRUST BUT VERIFY

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