JB
Joseph A. Brody
EATON VANCE MANAGEMENT
BOSTON, MA 02109
Some features on this profile are disabled
CRD#: 4700017
JB
Professional summary
Joseph Aaron Brody, CPWA®, who also goes by Joseph Brody, Joe A Brody, Joe Brody, is a registered financial advisor currently at EATON VANCE MANAGEMENT located in Boston, Massachusetts and EATON VANCE DISTRIBUTORS, INC. located in Ellicott City, Maryland.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Joseph has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph Brody | Joe A Brody | Joe Brody
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.
*475119- 2256 Lawndale LLC; Investment related Yes; Chicago, Illinois; Real Estate; Partner (proprietor, partner, officer, director, employee, trustee, agent); 12/2021; During business hours: 0; After business hours: 3; Accounting/Bookkeeping *475127- 2256 Lawndale-Nelson LLC; Investment related Yes; Chicago, Illinois; Real Estate; Partner (proprietor, partner, officer, director, employee, trustee, agent); 12/2021; During business hours: 0; After business hours: 3; Administrative, Accounting/Bookkeeping *475616- Rental Property; Investment related Yes; Chicago, Illinois; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 12/2013; During business hours: 0; After business hours: 1; Administrative, Accounting/Bookkeeping *600835- ADB Limited Family Partnership; Investment related: Yes; Warrenville, Illinois; Investment/Finance/Banking; Partner (proprietor, partner, officer, director, employee, trustee, agent); 01/2024; During business hours: 0; After business hours: 0.5; Limited Partner.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Aaron Brody's 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®
CPWA®
Start date: 2017-06-29
Expire date: 2023-05-31
Experience
Current
July 18, 2016 - Present
EATON VANCE MANAGEMENT
Office #1: One Post Office Square, Boston, MA 02109RIA
CRD#: 104859
BOSTON, MA
Current
May 17, 2016 - Present
EATON VANCE DISTRIBUTORS, INC.
BD
CRD#: 37731
ELLICOTT CITY, MD
Past
June 18, 2014 - May 18, 2016
AMERICAN CENTURY INVESTMENT SERVICES INC.
BD
CRD#: 17437
KANSAS CITY, MO
Past
October 10, 2003 - June 9, 2014
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
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".
EV
EATON VANCE MANAGEMENT
EATON VANCE MANAGEMENT
CRD#: 104859 / SEC#: 801-15930
RIA
Registered Investment Advisory firm - (2/20/1981 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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/17/2016)
RR
Alaska(5/17/2016)
RR
Arizona(5/17/2016)
RR
Arkansas(5/17/2016)
RR
California(5/17/2016)
RR
Colorado(5/17/2016)
RR
Connecticut(5/17/2016)
RR
Delaware(5/17/2016)
RR
District of Columbia(5/17/2016)
RR
Florida(5/17/2016)
RR
Georgia(5/17/2016)
RR
Hawaii(5/17/2016)
RR
Idaho(5/17/2016)
RR
Illinois(5/17/2016)
RR
Indiana(5/17/2016)
RR
Iowa(5/17/2016)
RR
Kansas(5/17/2016)
RR
Kentucky(5/17/2016)
RR
Louisiana(5/17/2016)
RR
Maine(5/17/2016)
RR
Maryland(5/17/2016)
RR
Massachusetts(5/17/2016)
IAR
Massachusetts(7/18/2016)
RR
Michigan(5/17/2016)
RR
Minnesota(5/17/2016)
RR
Mississippi(5/17/2016)
RR
Missouri(5/17/2016)
RR
Montana(5/17/2016)
RR
Nebraska(5/17/2016)
RR
Nevada(5/17/2016)
RR
New Hampshire(5/17/2016)
RR
New Jersey(5/17/2016)
RR
New Mexico(5/17/2016)
RR
New York(5/17/2016)
RR
North Carolina(5/24/2016)
RR
North Dakota(5/17/2016)
RR
Ohio(5/17/2016)
RR
Oklahoma(5/17/2016)
RR
Oregon(5/17/2016)
RR
Pennsylvania(5/17/2016)
RR
Puerto Rico(5/17/2016)
RR
Rhode Island(5/17/2016)
RR
South Carolina(5/17/2016)
RR
South Dakota(5/17/2016)
RR
Tennessee(5/17/2016)
RR
Texas(5/17/2016)
RR
Utah(5/17/2016)
RR
Vermont(5/17/2016)
RR
Virginia(5/17/2016)
RR
Washington(5/17/2016)
RR
West Virginia(5/17/2016)
RR
Wisconsin(5/17/2016)
RR
Wyoming(5/17/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EV
EATON VANCE MANAGEMENT
EATON VANCE MANAGEMENT
CRD#: 104859 / SEC#: 801-15930
RIA
Registered Investment Advisory firm - (2/20/1981 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Post Office Square, Boston, MA 02109
Mailing Address
Phone number
(617) 482-8260
Established
Firm type
Fiscal year end
# of Employees
247
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,053 |
| AUM (Assets Under Management) | $ 84,879,368,900 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
EATON VANCE MANAGEMENT
CRD#: 104859Boston, MA 02109TRUST BUT VERIFY
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