Mark Alan Broderick
CFP®Professional Summary
Mark Alan Broderick, CFP® is a registered financial advisor currently at APELLA WEALTH located in Johnston, Iowa. Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Mark has worked at 2 firms and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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PRINCIPAL SECURITIES, INC.
Videos & Posts
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PRINCIPAL SECURITIES, INC.
Contact Information
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PRINCIPAL SECURITIES, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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PRINCIPAL SECURITIES, INC.
Credentials
Years of Experience
6 years in the financial services industry
Current & Past Employments
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Current Firm
APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC
Contact Information
Main Address
65 Memorial Drive Suite C340, West Hartford, CT 06107Phone Number
(860) 785-2260# of Employees
179SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
24,058AUM (Assets Under Management)
$11,065,217,421Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2026 | Cover Page | Report |
| 01/24/2025 | Cover Page | Report |
| 03/29/2024 | Cover Page | Report |
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PRINCIPAL SECURITIES, INC.
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.
The advisor shows no other business activity.
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PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC
State Registrations and Notice Filings
(7/7/2025)
(7/28/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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PRINCIPAL SECURITIES, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Alan Broderick's CRS (Customer Relationship Summary).
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PRINCIPAL SECURITIES, INC.
