Jason R. Broder
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.
Jason Robert Broder, who also goes by Jason Broder, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2002. Jason had worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2023 - October 6, 2025
ICAPITAL MARKETS LLC
June 20, 2018 - December 1, 2023
SIMON MARKETS LLC
September 24, 2002 - January 4, 2019
GOLDMAN SACHS & CO. LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/14/2002
Limited Representative-Equity Trader ExamCurrent Firm
ICAPITAL MARKETS LLC
CRD#: 118219 / SEC#: , 8-53640
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
