Norris L. Brodsky

LPL ENTERPRISE

NORTH BETHESDA, MD 20852

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CRD#: 2898299

Professional summary

Norris L Brodsky, CFP®, who also goes by Norris L Brodsky, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in North Bethesda, Maryland.

Norris is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Norris has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Insurance Planning

Divorce Planning

Retirement Planning

Tax Planning

Comprehensive Financial Planni...

Business Succession Planning

Estate Planning

Debt Management

Investment Planning

Are you a "fiduciary"?

Yes

Aliases

Norris L Brodsky

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.

1. 03/18/2025 - Baltimore Estates Planning Council - Non-Profit Board Member - Non Inv Related - Ellicott City, MD - Start Date 07/12/2017 - 2hrs/MTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Norris L Brodsky's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Norris L Brodsky's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

May 2, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 909 Rose Avenue Suite 650, North Bethesda, MD 20852Office #2: 1777 Reisterstown Road Suite 380, Pikesville, MD 21208

RIA

CRD#: 8733

NORTH BETHESDA, MD

Current

May 2, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 909 Rose Avenue Suite 650, North Bethesda, MD 20852Office #2: 1777 Reisterstown Road Suite 380, Pikesville, MD 21208

RIA

CRD#: 8733

NORTH BETHESDA, MD

Past

January 5, 2024 - May 22, 2025

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

WILMINGTON, DE

Past

January 5, 2024 - May 22, 2025

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

WILMINGTON, DE

Past

October 4, 2013 - January 5, 2024

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LUTHERVILLE, MD

Past

October 4, 2013 - January 5, 2024

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LUTHERVILLE, MD

Past

June 1, 2009 - October 15, 2013

MORGAN STANLEY

RIA

CRD#: 149777

BALTIMORE, MD

Past

June 1, 2009 - October 15, 2013

MORGAN STANLEY

CRD#: 149777

BALTIMORE, MD

Past

November 7, 2000 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

PIKESVILLE, MD

Past

January 22, 2000 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

PIKESVILLE, MD

Past

July 9, 1997 - November 8, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/2/2025)

District of Columbia
(5/2/2025)

Florida
(5/2/2025)

Georgia
(5/2/2025)

Illinois
(5/2/2025)

Indiana
(5/2/2025)

Maryland
(5/2/2025)

IAR

Maryland
(5/2/2025)

New Jersey
(5/2/2025)

New York
(5/2/2025)

North Carolina
(5/2/2025)

Pennsylvania
(5/2/2025)

South Carolina
(5/2/2025)

Virginia
(5/2/2025)

Wyoming
(5/2/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/31/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/22/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/8/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Norris L. Brodsky

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Norris L Brodsky's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Norris L Brodsky's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/1997

Series 63

Date: 7/22/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/8/1997

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

Contact information

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