Michael E. Brodie

ADVISORS CAPITAL MANAGEMENT

Ridgewood, NJ 07450

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CRD#: 4046297

Professional summary

Michael Emmanuel Brodie is a registered financial advisor currently at ADVISORS CAPITAL MANAGEMENT, LLC located in Ridgewood, New Jersey.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Michael has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Michael Emmanuel Brodie'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®

None

Experience

Current

January 13, 2015 - Present

ADVISORS CAPITAL MANAGEMENT, LLC

Office #1: 10 Wilsey Square Suite 200, Ridgewood, NJ 07450

RIA

CRD#: 112266

Ridgewood, NJ

Past

February 6, 2013 - November 10, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

August 7, 2012 - November 10, 2014

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

January 28, 2010 - August 13, 2012

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

June 8, 2005 - March 24, 2009

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

April 13, 2001 - May 31, 2005

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

July 20, 2000 - March 27, 2001

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

LOS ANGELES, CA

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".

ADVISORS CAPITAL MANAGEMENT, LLC

CRD#: 112266 / SEC#: 801-62058

RIA

Registered Investment Advisory firm - (5/16/2003 Approved)

Connecticut

Registered Investment Advisory firm - (6/24/2003 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2002 Failure to Renew)

Kentucky

Registered Investment Advisory firm - (6/16/2003 Terminated)

New Jersey

Registered Investment Advisory firm - (6/18/2003 Terminated)

New York

Registered Investment Advisory firm - (6/18/2003 Terminated)

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.

Highlighted states indicate IAR registrations

IAR

California
(1/13/2015)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/25/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/16/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/10/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/6/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/19/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ADVISORS CAPITAL MANAGEMENT, LLC

CRD#: 112266 / SEC#: 801-62058

RIA

Registered Investment Advisory firm - (5/16/2003 Approved)

Connecticut

Registered Investment Advisory firm - (6/24/2003 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2002 Failure to Renew)

Kentucky

Registered Investment Advisory firm - (6/16/2003 Terminated)

New Jersey

Registered Investment Advisory firm - (6/18/2003 Terminated)

New York

Registered Investment Advisory firm - (6/18/2003 Terminated)

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Contact information

Main Address

10 Wilsey Square Suite 200, Ridgewood, NJ 07450

Mailing Address

Phone number

(201) 447-3400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADVISORS CAPITAL PART 2A DISCLOSURE BROCHURE (3/31/2025)

ACM WEALTH DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	14,670
AUM (Assets Under Management)	$ 9,470,063,452

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.

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Michael E. Brodie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Emmanuel Brodie's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

LPL FINANCIAL LLC

PACIFIC SELECT DISTRIBUTORS, LLC

CAPITAL CLIENT GROUP, INC.

Primary Firm SEC Registration

ADVISORS CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/25/2013

Series 63

Date: 8/16/2000

SIE

Date: 11/10/2014

Series 7

Date: 10/6/2012

Series 6

Date: 7/19/2000

Current Firm

ADVISORS CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADVISORS CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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