Stephen A. Brodsky
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.
Stephen Arthur Brodsky, who also goes by Stephen A Brodsky, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2000. Stephen had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2019 - September 4, 2020
R.J. O'BRIEN SECURITIES, LLC
June 10, 2011 - February 28, 2018
SPOT TRADING L.L.C.
October 17, 2000 - September 5, 2003
MESIROW FINANCIAL, 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
R.J. O'BRIEN SECURITIES, LLC
CRD#: 143624 / SEC#: , 8-67587
Contact information
FINRA licenses (30 States and Territories)
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.
