Michael W. Broderick

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CRD#: 2078663

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.

Michael William Broderick, who also goes by Mike Broderick, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 13 firms and has passed the Series 63, Series 65, Series 22, Series 6, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 26, 2018 - February 7, 2020

FIRST ADVISORS NATIONAL, LLC

RIA

CRD#: 166212

Ocala, FL

Past

December 20, 2011 - July 29, 2016

REDHAWK WEALTH ADVISORS, INC.

RIA

CRD#: 146616

OCALA, FL

Past

June 2, 2011 - November 11, 2011

CL WEALTH MANAGEMENT LLC

RIA

CRD#: 134922

CLEARWATER, FL

Past

July 12, 2007 - April 8, 2011

ALLIED BEACON PARTNERS, INC.

RIA

CRD#: 46227

CLEARWATER, FL

Past

February 1, 2005 - April 23, 2008

PAYNE CAPITAL MANAGEMENT, INC.

RIA

CRD#: 126941

BRADENTON, FL

Past

September 23, 2003 - December 31, 2004

BRODERICK WEALTH MANAGEMENT, INC.

RIA

CRD#: 115823

DELRAY BEACH, FL

Past

March 5, 2002 - November 11, 2011

ALLIED BEACON PARTNERS, INC.

CRD#: 46227

RICHMOND, VA

Past

December 10, 2001 - January 31, 2002

PMK SECURITIES & RESEARCH, INC.

CRD#: 40145

DELRAY BEACH, FL

Past

June 17, 1996 - September 1, 1998

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

June 6, 1995 - June 19, 1996

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

April 30, 1993 - June 2, 1995

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

June 17, 1992 - May 10, 1993

VISION INVESTMENT GROUP, INC.

CRD#: 28135

Past

August 13, 1991 - June 19, 1992

ASSET MANAGEMENT SECURITIES CORP.

CRD#: 14433

BOCA RATON, FL

Past

September 19, 1990 - August 1, 1991

SLAVIC INVESTMENT CORPORATION

CRD#: 22885

BOCA RATON, FL

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".

FIRST ADVISORS NATIONAL, LLC

FIRST ADVISORS NATIONAL, LLC | FIRST AMERICAN NATIONAL INVESTMENT ADVISORS, LLC

CRD#: 166212 / SEC#: 801-77440

RIA

Registered Investment Advisory firm - (12/18/2012 Approved)

Georgia

Registered Investment Advisory firm - (3/22/2013 Terminated)

Illinois

Registered Investment Advisory firm - (1/22/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/5/2005

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/9/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 22

Date: 8/11/2003

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/7/2001

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 5/28/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/27/1994

General Securities Principal Examination

Current Firm

FIRST ADVISORS NATIONAL, LLC

FIRST ADVISORS NATIONAL, LLC | FIRST AMERICAN NATIONAL INVESTMENT ADVISORS, LLC

CRD#: 166212 / SEC#: 801-77440

RIA

Registered Investment Advisory firm - (12/18/2012 Approved)

Georgia

Registered Investment Advisory firm - (3/22/2013 Terminated)

Illinois

Registered Investment Advisory firm - (1/22/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2013 Terminated)

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Contact information

Main Address

1372 Peachtree Street Ne, Atlanta, GA 30309

Mailing Address

Phone number

+1 (855) 326-7427

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FAN ADVISORS FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,207
AUM (Assets Under Management)	$ 501,113,212

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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Advisor Monitoring

Firm Stability Insights

Michael W. Broderick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REDHAWK WEALTH ADVISORS, INC.

CL WEALTH MANAGEMENT LLC

ALLIED BEACON PARTNERS, INC.

PAYNE CAPITAL MANAGEMENT, INC.

BRODERICK WEALTH MANAGEMENT, INC.

ALLIED BEACON PARTNERS, INC.

PMK SECURITIES & RESEARCH, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

KEOGLER, MORGAN & COMPANY, INC.

FSC SECURITIES CORPORATION

VISION INVESTMENT GROUP, INC.

ASSET MANAGEMENT SECURITIES CORP.

SLAVIC INVESTMENT CORPORATION

Primary Firm SEC Registration

FIRST ADVISORS NATIONAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/5/2005

Series 65

Date: 9/9/1998

Series 22

Date: 8/11/2003

Series 6

Date: 12/7/2001

Series 7

Date: 5/28/1992

Series 24

Date: 6/27/1994

Current Firm

FIRST ADVISORS NATIONAL, LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST ADVISORS NATIONAL, LLC

TRUST BUT VERIFY

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