James M. Broderick

VALMARK ADVISERS

Cleveland, OH 44115

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CRD#: 4691968

Professional summary

James M Broderick, who also goes by James M Broderick, James Minihane Broderick, is a registered financial advisor currently at VALMARK ADVISERS, INC. located in Cleveland, Ohio and VALMARK SECURITIES, INC. located in Cleveland, Ohio.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. James has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James M Broderick | James Minihane Broderick

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.

1.)Board Member; Rocky River Education Foundation-RREF; Rocky River, Ohio; start 09/2021; co-chair the donor development team.; purpose: enrich and provide added quality to the educational experience of the students attending the Rocky River City Schools; 1-5 hours/ month; no compensation./// 2.)Omega Pensions, Inc. ; Cleveland, OH ; administrative; start 11/2024; Third Party Administrator-TPA; Interact with clients on website usage and communication, providing support to their back-office employees. This role is not related to investments; 6-10 hours/ month; salary. ///

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James M 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

November 12, 2024 - Present

VALMARK ADVISERS, INC.

Office #1: 812 Huron Rd, Ste. 670, Cleveland, OH 44115

RIA

CRD#: 108050

Cleveland, OH

Current

October 31, 2024 - Present

VALMARK SECURITIES, INC.

Office #1: 812 Huron Road Suite 670, Cleveland, OH 44115

CRD#: 31243

Cleveland, OH

Past

March 8, 2006 - October 2, 2019

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

NEW YORK, NY

Past

June 15, 2005 - October 2, 2019

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NEW YORK, NY

Past

May 4, 2004 - May 27, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

March 31, 2004 - May 27, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 8, 2003 - January 26, 2004

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

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".

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 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

Ohio
(11/1/2024)

IAR

Ohio
(11/12/2024)

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

IAR

Series 66

Date: 8/30/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/27/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/31/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/16/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/7/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 Terminated)

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Contact information

Main Address

130 Springside Drive Suite 300, Akron, OH 44333

Mailing Address

Phone number

(800) 765-5201

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VALMARK ADVISERS WEALTH MANAGEMENT SOLUTIONS ADV PART 2A APPENDIX 1-WRAP FEE PROGRAM BROCHURE (6/16/2025)

VALMARK ADVISERS, INC SEC FORM 2A FIRM BROCHURE (6/16/2025)

Regulatory assets under management

Total Number of Accounts	19,096
AUM (Assets Under Management)	$ 8,379,181,235

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

James M. Broderick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James M Broderick's CRS (Customer Relationship Summary).

Certified licenses

Experience

VALMARK SECURITIES, INC.

ALLIANCEBERNSTEIN L.P.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

VALMARK ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/30/2024

Series 63

Date: 8/27/2003

Series 7TO

Date: 10/31/2024

SIE

Date: 9/16/2024

Series 7

Date: 8/7/2003

FINRA

Current Firm

VALMARK ADVISERS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VALMARK ADVISERS, INC.

TRUST BUT VERIFY

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