Justin A. Broemmelsick
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.
Justin Allen Broemmelsick was a registered financial professional .
Justin is a previously registered financial professional and started their career in finance in 2010. Justin had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2018 - August 29, 2020
TD AMERITRADE, INC.
August 14, 2015 - February 26, 2018
SCOTTRADE, INC.
November 26, 2014 - August 10, 2015
WELLS FARGO CLEARING SERVICES, LLC
October 3, 2014 - August 10, 2015
WELLS FARGO CLEARING SERVICES, LLC
March 13, 2013 - October 3, 2014
FIRST CLEARING, LLC
September 23, 2011 - March 7, 2013
WELLS FARGO CLEARING SERVICES, LLC
April 14, 2010 - June 4, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
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 55
Date: 9/25/2013
Limited Representative-Equity Trader ExamCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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