AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
PB

Patrick S. Broderick

Some features on this profile are disabled
CRD#: 2801606
PB

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.

Patrick S Broderick, who also goes by Patrick S Broderick, Patrick Shannon Broderick, Patrick Broderick, was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 1997. Patrick had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7TO and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patrick S Broderick | Patrick Shannon Broderick | Patrick 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

August 16, 2024 - June 27, 2025

FNEX CAPITAL, LLC

BD
CRD#: 166316
INDIANAPOLIS, IN
Past

March 20, 2018 - December 20, 2018

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

November 12, 2015 - August 29, 2017

AMG DISTRIBUTORS, INC.

BD
CRD#: 27314
STAMFORD, CT
Past

April 15, 2008 - September 22, 2015

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

May 18, 2006 - January 8, 2008

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

May 15, 2006 - January 8, 2008

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

July 15, 2005 - November 17, 2005

AT INVESTOR SERVICES, INC.

BD
CRD#: 47837
NEW YORK, NY
Past

September 23, 2004 - July 15, 2005

GPC SECURITIES, INC.

BD
CRD#: 14007
ATLANTA, GA
Past

January 14, 2004 - August 6, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
DECATUR, GA
Past

June 17, 2003 - August 6, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

January 29, 1997 - June 4, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 7/19/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/2/1996
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/16/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/12/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/6/1996
General Securities Representative Examination

Current Firm

FC
FNEX CAPITAL, LLC
APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
One Indiana Square Suite 2252, Indianapolis, IN 46204
Mailing Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Phone number
(317) 580-2588
Established
Indiana since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FNEX, LLCMEMBER
HEGER, LOREN EUGENECEO, CCO, AMLCO, EXEC. REP.6143753
TEUFEL, FREDERICK CHARLESFINOP2092408

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.

Company Information

FNEX CAPITAL, LLC

CRD#: 166316

TRUST BUT VERIFY

Monitor Patrick Broderick

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.