Thomas L. Broderick

SIGNATURE FINANCIAL SERVICES, LTD

EVERGREEN PARK, IL

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CRD#: 4229933

Professional summary

Thomas Lambert Broderick is a registered financial advisor currently at SIGNATURE FINANCIAL SERVICES, LTD located in Evergreen Park, Illinois and FIRST HEARTLAND CAPITAL, INC. located in Evergreen Park, Illinois.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 3 firms and has passed the Series 63, Series 65, SIE 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.

SIGNATURE FINANCIAL SERVICES LTD - REG INVESTMENT ADVISOR REP; SIGNATURE BROKERAGE SERVICES LTD - INSURANCE BROKER; THOMAS BRODERICK, CPA- FINANCIAL SERVICES, SALE OF FINANCIAL PRODUCTS CITY HALL LLC - NOT INVESTMENT RELATED - SILENT PARTNER (MINORITY INVESTOR) IN A BAR/EVENT SPACE - 1/1/19

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Lambert Broderick'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

March 19, 2001 - Present

SIGNATURE FINANCIAL SERVICES, LTD

RIA

CRD#: 123729

EVERGREEN PARK, IL

Current

October 9, 2001 - Present

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

EVERGREEN PARK, IL

Past

September 11, 2000 - September 17, 2001

MARQUIS FINANCIAL SERVICES, INC.

CRD#: 20733

TARZANA, 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".

SIGNATURE FINANCIAL SERVICES, LTD

SIGNATURE FINANCIAL SERVICES, LTD | SIGNATURE FINANCIAL SERVICES,LTD

CRD#: 123729 / SEC#: 801-64258

RIA

Registered Investment Advisory firm - (5/27/2005 Approved)

Texas

Registered Investment Advisory firm - (8/31/2005 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.

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

Arizona
(4/24/2018)

California
(4/19/2018)

Colorado
(6/24/2025)

Florida
(3/10/2020)

IAR

Illinois
(3/19/2001)

Illinois
(10/9/2001)

Indiana
(11/12/2013)

Iowa
(1/3/2011)

Oregon
(7/25/2011)

Texas
(2/16/2017)

IAR

Texas
(1/10/2019)

Washington
(1/3/2012)

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

Series 63

Date: 10/27/2000

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/13/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/8/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SIGNATURE FINANCIAL SERVICES, LTD

SIGNATURE FINANCIAL SERVICES, LTD | SIGNATURE FINANCIAL SERVICES,LTD

CRD#: 123729 / SEC#: 801-64258

RIA

Registered Investment Advisory firm - (5/27/2005 Approved)

Texas

Registered Investment Advisory firm - (8/31/2005 Terminated)

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Contact information

Main Address

855 East Golf Road, Suite 2128, Arlington Heights, IL 60005

Mailing Address

Phone number

(847) 545-8070

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (3/5/2025)

BROCHURE FOR ALL CLIENTS (3/5/2025)

Regulatory assets under management

Total Number of Accounts	475
AUM (Assets Under Management)	$ 227,070,000

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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Firm Stability Insights

Thomas L. Broderick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Lambert Broderick's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST HEARTLAND CAPITAL, INC.

MARQUIS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

SIGNATURE FINANCIAL SERVICES, LTD

State Registrations and Notice Filings

Exams

Series 63

Date: 10/27/2000

Series 65

Date: 10/13/2000

SIE

Date: 10/1/2018

Series 6

Date: 9/8/2000

FINRA

Current Firm

SIGNATURE FINANCIAL SERVICES, LTD

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIGNATURE FINANCIAL SERVICES, LTD

TRUST BUT VERIFY

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