Stephen Brodeur
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.
Stephen Brodeur, who also goes by Stephen Brodeur, Stephen Christopher Brodeur, Steve Brodeur, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2017. Stephen had worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE 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
December 2, 2020 - December 20, 2022
GIRARD PARTNERS LTD.
August 13, 2019 - September 29, 2020
PRUCO SECURITIES, LLC.
August 8, 2017 - August 14, 2019
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
GIRARD PARTNERS LTD.
CRD#: 39163 / SEC#: 801-60354, 8-48588
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 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
GIRARD PARTNERS LTD.
CRD#: 39163 / SEC#: 801-60354, 8-48588
Contact information
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,636 |
| AUM (Assets Under Management) | $ 2,652,300,000 |
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.
