Adam M. 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.
Adam M Brodsky, who also goes by Adam M. Brodsky, Adam Brodsky, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2000. Adam had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2024 - October 27, 2025
VIVALDI CAPITAL MANAGEMENT LP
October 31, 2012 - April 5, 2019
BTIG, LLC
October 26, 2010 - November 19, 2012
CITIGROUP GLOBAL MARKETS INC.
March 28, 2003 - May 11, 2004
INTERNATIONAL CORRESPONDENT TRADING, INC.
September 9, 2002 - March 26, 2003
GOLDMAN SACHS & CO. LLC
August 21, 2000 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Primary Firm SEC Registration
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
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 55
Date: 12/2/2010
Limited Representative-Equity Trader ExamCurrent Firm
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
Contact information
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,413 |
| AUM (Assets Under Management) | $ 4,647,085,822 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/22/2024 | ||
| 10/24/2023 | ||
| 07/26/2022 |
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.
