Michael R. Broderick

TURTAIR CAPITAL ADVISORS

Zionsville, IN

Some features on this profile are disabled

CRD#: 2261560

Professional summary

Michael Richard Broderick, who also goes by Mike Broderick, is a registered financial advisor currently at TURTAIR CAPITAL ADVISORS located in Zionsville, Indiana.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Michael has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Michael Richard 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®

None

Experience

Current

January 4, 2010 - Present

TURTAIR CAPITAL ADVISORS

RIA

CRD#: 152256

Zionsville, IN

Past

April 20, 2007 - October 8, 2009

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

CHICAGO, IL

Past

October 4, 2006 - October 8, 2009

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

CHICAGO, IL

Past

September 9, 2003 - August 15, 2006

J.P. MORGAN SECURITIES INC.

CRD#: 18718

CHICAGO, IL

Past

March 3, 2000 - March 10, 2003

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

December 11, 1997 - March 10, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 19, 1997 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

February 7, 1995 - April 30, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 31, 1992 - June 21, 1994

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

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.

Highlighted states indicate IAR registrations

IAR

Indiana
(10/18/2012)

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

IAR

Series 65

Date: 4/19/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/5/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/28/1992

General Securities Representative Examination

Current Firm

TURTAIR CAPITAL ADVISORS

MCC FINANCIAL ADVISORS | TURTAIR CAPITAL ADVISORS (OR TURTAIR) | TURTAIR CAPITAL ADVISORS | NCC FINANCIAL ADVISORS (RESERVED BUT NOT USED) | MCC FINANCIAL ADVISORS, LLC

CRD#: 152256 / SEC#:

Illinois

Registered Investment Advisory firm - (11/16/2015 Terminated)

Indiana

Registered Investment Advisory firm - (10/18/2012 Approved)

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Zionsville, IN

Mailing Address

4000 W. 106th St., Ste 125-230, Carmel, IN 46032

Phone number

+1 (312) 320-7970

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	90
AUM (Assets Under Management)	$ 85,000,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael R. Broderick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Richard Broderick's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

CITIGROUP GLOBAL MARKETS INC.

SALOMON BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIRST UNION CAPITAL MARKETS CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/19/2007

Series 63

Date: 5/5/1995

Series 7

Date: 8/28/1992

Current Firm

TURTAIR CAPITAL ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TURTAIR CAPITAL ADVISORS

TRUST BUT VERIFY

Similar Advisors