Shannon Broderick
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.
Shannon Broderick, who also goes by Shannon Marie Broderick, was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 2016. Shannon had worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2019 - August 20, 2021
ESL INVESTMENT SERVICES, LLC
October 3, 2019 - September 11, 2021
LPL FINANCIAL LLC
November 15, 2016 - November 28, 2018
NYLIFE 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
Exams
Current Firm
ESL INVESTMENT SERVICES, LLC
CRD#: 139176 / SEC#: , 8-67195
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
