James M Broderick

KEY INVESTMENT SERVICES LLC

UNIVERSITY HEIGHTS, OH · CRD#

STRATEGIC ADVISERS LLC

NORTH OLMSTED, OH · CRD#

CLEVELAND WEALTH, LLC

CLEVELAND, OH · CRD#

COMMONWEALTH FINANCIAL NETWORK

Solon, OH · CRD#

Years of Experience

23 years registered in the securities industry

Current & Past Employments

Current

STRATOS WEALTH PARTNERS, LTDCurrent·CRD# 153184

RIA

12645 Pearl Road, Strongesville, OH 44136

September 18, 2026 - Present

LPL FINANCIAL LLCCurrent·CRD# 6413

RIA

BD

12645 Pearl Rd, Strongsville, OH 44136

September 16, 2026 - Present

Past

VALMARK ADVISERS, INC.Past·CRD# 108050

RIA

Cleveland, OH

November 12, 2024 - July 17, 2026

VALMARK SECURITIES, INC.Past·CRD# 31243

BD

Cleveland, OH

October 31, 2024 - July 17, 2026

ALLIANCEBERNSTEIN L.P.Past·CRD# 108477

RIA

New York, NY

March 8, 2006 - October 2, 2019

ALLIANCEBERNSTEIN INVESTMENTS, INC.Past·CRD# 14549

BD

New York, NY

June 15, 2005 - October 2, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691

RIA

Pennington, NJ

May 4, 2004 - May 27, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691

BD

New York, NY

March 31, 2004 - May 27, 2005

HORNOR, TOWNSEND & KENT, LLCPast·CRD# 4031

BD

Conshohocken, PA

August 8, 2003 - January 26, 2004

Similar Advisors

KEY INVESTMENT SERVICES LLC

UNIVERSITY HEIGHTS, OH · CRD#

STRATEGIC ADVISERS LLC

NORTH OLMSTED, OH · CRD#

CLEVELAND WEALTH, LLC

CLEVELAND, OH · CRD#

COMMONWEALTH FINANCIAL NETWORK

Solon, OH · CRD#

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Current Firm

STRATOS WEALTH PARTNERS, LTD

CRD#: 153184 / SEC#: 801-71457

RIA

Registered Investment Advisory firm - SEC (6/4/2010 Approved)

Contact Information

Main Address

3750 Park East Dr Ste 200, Beachwood, OH 44122

Phone Number

(440) 519-2500

# of Employees

618

SEC notice filing (51 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

Documents

Part 2 Brochures

ADV PART 2A SWP FIRM BROCHURE 10.2026 (10/14/2026)

ADV PART 2A SWP WRAP BROCHURE 03.2026 (4/17/2026)

Regulatory Assets Under Management

Total Number of Accounts

47,696

AUM (Assets Under Management)

$18,646,381,698

Similar Advisors

KEY INVESTMENT SERVICES LLC

UNIVERSITY HEIGHTS, OH · CRD#

STRATEGIC ADVISERS LLC

NORTH OLMSTED, OH · CRD#

CLEVELAND WEALTH, LLC

CLEVELAND, OH · CRD#

COMMONWEALTH FINANCIAL NETWORK

Solon, OH · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

1.09/16/2026; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Smooth 401(k); Investment Related; at Reported Business Location(s); Start Date 09/08/2026; 160hrs/mth; 130hrs during trading 2.10/14/2026; (Hybrid) Stratos Wealth Partners; Registered Investment Advisor Hybrid; Investment Related; at Reported Business Location(s); Start Date 09/08/2026; 160hrs/mth; 130hrs during trading; I provide administrative support to Stratos Wealth Partners, an independent investment advisor firm. I started this business activity in 10/2026. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at�http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3.10/14/2026; (Hybrid) Smooth 401(k); Registered Investment Advisor DBA; Investment Related; at Reported Business Location(s); Start Date 09/08/2026; 160hrs/mth; 130hrs during trading;

Similar Advisors

KEY INVESTMENT SERVICES LLC

UNIVERSITY HEIGHTS, OH · CRD#

STRATEGIC ADVISERS LLC

NORTH OLMSTED, OH · CRD#

CLEVELAND WEALTH, LLC

CLEVELAND, OH · CRD#

COMMONWEALTH FINANCIAL NETWORK

Solon, OH · CRD#

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".

STRATOS WEALTH PARTNERS, LTD

CRD#: 153184 / SEC#: 801-71457

RIA

Registered Investment Advisory firm - SEC (6/4/2010 Approved)

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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Ohio
(9/16/2026)

IAR

Ohio
(9/18/2026)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

FINRA

SRO Registrations

Similar Advisors

KEY INVESTMENT SERVICES LLC

UNIVERSITY HEIGHTS, OH · CRD#

STRATEGIC ADVISERS LLC

NORTH OLMSTED, OH · CRD#

CLEVELAND WEALTH, LLC

CLEVELAND, OH · CRD#

COMMONWEALTH FINANCIAL NETWORK

Solon, OH · CRD#

CRS (Client Relationship Summary) - RIA

STRATOS WEALTH PARTNERS, LTD — Registered Investment Advisory firm

Version Date: Mon, Jan 01, 2024

Stratos Wealth Partners, Ltd. (“we”, “us”, “our”, or “SWP”) is registered with the U.S. Securities and Exchange Commission (“SEC”) as an investment adviser. Some SWP Financial Professionals (“FPs”) are registered representatives of LPL Financial LLC (“LPL”), an SEC-registered broker-dealer and investment adviser. Your FP may offer you brokerage services through LPL or investment advisory services through SWP. It is important that you understand that brokerage services and investment advisory services are different, and the fees we, and LPL, charge for those services are different. This relationship summary outlines the types of relationships and services SWP offers, the fees associated with those services, and the conflicts of interest that exist when we provide those services. Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.

Our FPs provide you with access to a variety of investment advisory services and programs that include a range of investment products, including stocks, bonds, ETF/ETNs, no-load and/or load mutual funds and cash or cash equivalents, and other securities deemed to be in your best interest by your FP. The services and programs available through SWP include wrap programs, asset allocation programs, advisory programs offered by third party investment advisor firms, financial planning, and consulting services. SWP also offers both customized individually managed portfolios and management based on model accounts. It is important to understand that the products, services, minimum investments, and programs available to you will depend on your FP, your custodian, and your state of residence. More detailed information about our investment advisory services and programs can be found in our Form ADV, which is available at https://adviserinfo.sec.gov/firm/brochure/153184.

Your FP will typically monitor your advisory accounts, and the assets within those accounts, on an ongoing basis and make recommendations or changes deemed to be in your best interest based on your unique needs and investment goals. Your FP may not, however, provide ongoing monitoring for limited-scope consulting or advisory relationships. Your account may have specific requirements (such as account or investment minimums) that vary depending upon the particular services and/or programs you select.

SWP accounts are offered on a discretionary and non-discretionary basis as agreed to between you and your FP. Non-discretionary accounts require your FP to discuss all changes in your portfolio with you and to receive your approval prior to executing any transactions. You make the final decision regarding the purchase or sale of investments and the hiring/firing of sub-advisors within your account. For discretionary accounts, your FP can make changes within your account (including appointing or changing a sub-advisor) as deemed appropriate based on your best interest and without consulting you ahead of time.

Questions to ask your Professional:

Given my financial situation, should I choose an investment advisory service? Why or why not?
How will you choose investments to recommend to me?
What is your relevant experience, including your licenses, education, and other qualifications? What do these qualifications mean?

The fee you pay to your FP is generally negotiated directly with them and may include services that are subject to different minimums/maximums. For investment advisory services, we typically charge an ongoing quarterly fee (sometimes referred to as an asset-based fee). Your FP may recommend that you use a sub-advisor, and your FP will receive a percentage of assets managed by a sub-advisor. These fees are a percentage of the value of your account. You pay this fee even if you don’t buy or sell investments. The more assets you have in an asset-based fee account, the more you will pay us in fees. This creates an incentive to encourage you to increase the size of your account, including by transferring or rolling over assets from other accounts. We may also charge an hourly fee or fixed fee for additional services such as financial planning and consulting services. For wrap fee program accounts, you will pay us a single asset-based fee for advisory services. This fee also covers most transaction costs associated with your investments. If you expect to trade infrequently, or to pursue a “buy and hold” strategy, a wrap fee program may cost you more than paying for the program’s services separately, and you may want to consider a non-wrap fee program account or a brokerage relationship rather than an advisory relationship. Depending on your account type, underlying products, sub-advisor and custodian, there may be other fees assessed by your sub-advisor, custodian, or product sponsor. Please review your custodian’s disclosure documents for a description of the fees and costs. Your FP may also earn additional transaction- based compensation for broker age services offered through LPL, insurance or other outside services provided. Your FP may recommend the use of our affiliated sub-advisor, Stratos Investment Management, LLC. SWP benefits from the additional sub-advisory fee paid to its affiliate.

You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying. Detailed information on our advisory fees can be found in our Form ADV at https://adviserinfo.sec.gov/firm/brochure/153184.

Questions to ask your Professional:

Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?

When we act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests (“COIs”). You should understand and ask us about these conflicts because they can affect the investment advice, we provide you. Here is an example to help you understand what this means.

Transition Assistance Benefits (TABs): TABs are payments or other benefits provided by custodians in exchange for an FP’s recommendation that a client utilize their services. This creates an incentive for FPs to favor the custodian providing the TAB. TABs and other conflicts of interest are disclosed in our ADV Part 2B, which will be provided prior to or concurrent with the offering of investment advice.

Questions to ask your Professional:

How might your conflicts of interest affect me, and how will you address them?

Our FPs make money by charging you an advisory fee based on your account value or by charging you flat or hourly fees related to financial planning services. They may also make money through separate affiliation(s) with LPL or insurance carriers. Please see the “What fees will I pay?” section, along with our Form ADV (https://adviserinfo.sec.gov/firm/brochure/153184,) for additional fee and company information.

Similar Advisors

KEY INVESTMENT SERVICES LLC

UNIVERSITY HEIGHTS, OH · CRD#

STRATEGIC ADVISERS LLC

NORTH OLMSTED, OH · CRD#

CLEVELAND WEALTH, LLC

CLEVELAND, OH · CRD#

COMMONWEALTH FINANCIAL NETWORK

Solon, OH · CRD#