David W. Broderick
Professional summary
David William Broderick, who also goes by David W Broderick, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Marietta, Georgia and FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. David has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David William Broderick's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
October 4, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917October 13, 2021 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 20, 2018 - January 21, 2020
TRUIST ADVISORY SERVICES, INC.
April 11, 2018 - January 21, 2020
TRUIST INVESTMENT SERVICES, INC.
August 25, 2014 - April 2, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 2014 - April 2, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 2012 - July 16, 2014
HARRISDIRECT LLC
May 25, 2012 - July 16, 2014
E*TRADE SECURITIES LLC
September 2, 2011 - March 20, 2012
TD AMERITRADE, INC.
September 2, 2011 - March 20, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 1, 2011 - March 20, 2012
TD AMERITRADE, INC.
March 9, 2007 - September 13, 2011
CHARLES SCHWAB & CO., INC.
March 2, 2007 - September 13, 2011
CHARLES SCHWAB & CO., INC.
April 27, 2006 - March 12, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 19, 2005 - March 12, 2007
TD AMERITRADE, INC.
October 4, 2004 - March 12, 2007
TD AMERITRADE, INC.
October 10, 2002 - November 19, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 2, 2002 - June 11, 2002
AMERIPRISE ADVISOR SERVICES, INC.
August 10, 2001 - January 8, 2002
ALLSTATE FINANCIAL SERVICES, LLC
March 21, 1997 - August 2, 2001
CHARLES SCHWAB & CO., INC.
November 11, 1994 - February 27, 1996
MORGAN STANLEY DW INC.
March 21, 1994 - April 12, 1994
AMERIPRISE ADVISOR SERVICES, INC.
January 28, 1993 - March 24, 1994
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
New York Stock Exchange
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
