Elizabeth H. Broderick
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.
Elizabeth Helen Broderick, who also goes by Beth Broderick, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1998. Elizabeth had worked at 7 firms and has passed the Series 63, Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2012 - August 30, 2012
SII INVESTMENTS, INC.
June 25, 2012 - August 30, 2012
SII INVESTMENTS, INC.
January 1, 2010 - November 9, 2010
CHASE INVESTMENT SERVICES CORP.
December 11, 2009 - November 9, 2010
CHASE INVESTMENT SERVICES CORP.
August 5, 2009 - August 19, 2009
JESUP & LAMONT SECURITIES CORP
August 5, 2009 - August 19, 2009
JESUP & LAMONT SECURITIES CORP
November 11, 2002 - June 17, 2009
LORD, ABBETT & CO. LLC
August 28, 2002 - June 17, 2009
LORD ABBETT DISTRIBUTOR LLC
April 28, 1999 - September 17, 2002
A. G. EDWARDS & SONS, INC.
July 29, 1998 - January 21, 1999
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
Red Flags
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