John P. 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.
John Peter Broderick, who also goes by John P Broderick, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1972. John had worked at 15 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 1 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
November 1, 2012 - March 6, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 30, 2012 - March 6, 2014
TD AMERITRADE, INC.
May 15, 2012 - March 6, 2014
TD AMERITRADE, INC.
August 23, 2010 - March 5, 2012
COMMERCE STREET CAPITAL, LLC
January 7, 2009 - November 25, 2009
TD AMERITRADE, INC.
August 5, 2008 - October 7, 2008
COMMERCE STREET CAPITAL, LLC
January 2, 2007 - May 21, 2008
UBS FINANCIAL SERVICES INC.
December 12, 2006 - May 21, 2008
UBS FINANCIAL SERVICES INC.
May 19, 2005 - November 7, 2006
RUSHMORE INVESTMENT ADVISORS INC
October 24, 2000 - January 16, 2002
RBC CAPITAL MARKETS, LLC
August 4, 1997 - December 31, 1999
WFG INVESTMENTS, INC.
September 13, 1996 - April 1, 1997
CNBS
May 11, 1995 - August 29, 1996
MORGAN STANLEY DW INC.
August 7, 1992 - May 16, 1995
RAUSCHER PIERCE REFSNES, INC.
July 10, 1984 - August 12, 1992
CREDIT SUISSE SECURITIES (USA) LLC
June 26, 1984 - May 9, 1991
LEHMAN BROTHERS INC.
May 5, 1978 - June 26, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
January 27, 1976 - November 4, 1976
WHITE, WELD & CO. INCORPORATED
September 27, 1972 - August 7, 1973
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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
Series 1
Date: 6/17/1968
Registered Representative ExaminationCurrent Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
