Christopher J. Broderick
Professional summary
Christopher James Broderick, who also goes by Christopher J Broderick, is a registered financial professional currently at SPIRE SECURITIES, LLC located in Woodbury, New York.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2006. Christopher has worked at 3 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher James Broderick's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 15, 2020 - Present
SPIRE SECURITIES, LLC
Office #1: 135 Crossways Park Drive Suite 404, Woodbury, NY 11797April 25, 2007 - August 7, 2019
UBS FINANCIAL SERVICES INC.
November 14, 2006 - March 21, 2007
J.P. MORGAN SECURITIES 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
(5/27/2020)
Exams
FINRA
Current Firm
SPIRE SECURITIES, LLC
CRD#: 144131 / SEC#: , 8-67635
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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