Deborah A. Brodheim
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.
Deborah Ann Brodheim, who also goes by Deborah Ann Bower, Deborah A Brodheim, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1998. Deborah had worked at 5 firms and has passed the Series 63, SIE, Series 82, Series 79, 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
April 3, 2017 - October 2, 2017
KEMA PARTNERS LLC
September 7, 2012 - March 31, 2017
INDEPENDENT BROKERAGE SOLUTIONS LLC
March 28, 2012 - August 13, 2012
TANGENT CAPITAL PARTNERS, LLC
October 4, 1999 - March 2, 2009
GAM SERVICES, INC.
May 21, 1998 - November 30, 1998
JPMSI
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
KEMA PARTNERS LLC
CRD#: 143752 / SEC#: , 8-67600
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANN, HOWARD WHEELER III | MANAGING PARTNER, CFO, FINOP | |
| CANN, PETER TAYLOR | MANAGING PARTNER, CHIEF COMPLIANCE OFFICER | 4543062 |
| CANN, MICHAEL GRANT | PARTNER |
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.
