MB
Marc E. Brodsky
CETERA INVESTMENT ADVISERS LLC
Greenwich, CT
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CRD#: 7909107
MB
Professional summary
Marc Eric Brodsky, who also goes by Marc Brodsky, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Greenwich, Connecticut and CETERA WEALTH SERVICES, LLC located in Dallas, Texas.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Marc has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marc Brodsky
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.
1) MARC BRODSKY FINANCIAL SERVICES POSITION: Owner NATURE: As aregistered representative, I will solicit and receive orders for the purchase and sale of securities through Avantax Broker/Dealer and to facilitate transactions in securities accounts of Avantax Broker/Dealer. I will participate as Referring Financial Professional (RFP) in Avantax Strategic Partnership Program (SPP). INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 4 START DATE: 04/26/2024 ADDRESS: 25 West Elm Street, #52, Greenwich CT 06830, United States DESCRIPTION: 1. Solicit orders and sales of securities2. Participate in introductory meetings with clients3. Identify clients as candidates for financial services and actively refer them to the Planning Financial Professional (PFP) in the Avantax Strategic Partnership Program (SPP)4. Support the marketing initiatives of the Planning Financial Professional? (PFP)5. Participate in follow-up meetings with clients to serve their best interests in wealth management and financial planning 2) STAMFORD HEALTH POSITION: Physician NATURE: Stamford Health is an independent, non-profit health system comprised of a 305-bed acute care hospital, a growing ambulatory network including four multispecialty centers and a medical group with more than 200 physicians and advanced practice providers in 40 offices throughout Fairfield County, Connecticut. With more than 3,800 employees, Stamford Health is the largest employer in the City of Stamford, has an operating budget of close to $1 billion, and contributes more than $1 billion a year to the local economy. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 09/01/2008 ADDRESS: Stamford Health, 75 Holly Hill Lane Suite 205, Greenwich CT 06830, United States DESCRIPTION: 1. Taking a patient history 2. Performing a physical exam 3. Making a pain-related diagnosis 4. Providing non-opioid pain management treatments that may include lifestyle discussion, acupuncture, trigger point injections, and Botox injections5. Assessing response and customizing treatment for patients to help them relieve suffering and optimize function and quality of life 3) COLUMBIA UNIVERSITY TECHNOLOGY VENTURES POSITION: Inventor NATURE: I am the inventor of the following 2 patents owned by Columbia University: 1) acupressure/trigger point massage device that is licensed and pays royalties, 2) botanical tincture for digestive health that is in 6-month evaluation period with potential licensing company INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/09/2020 ADDRESS: Columb University Technology Ventures, 80 Claremont Avenue, New York NY 10027, United States DESCRIPTION: Participate with Columbia University Technology Ventures staff in meetings with companies that may potentially license the Columbia University patents that identify me as the inventor
CRS (Client Relationship Summary) - RIA
Click below to view Marc Eric Brodsky's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 6, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Greenwich, CT
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019BD
CRD#: 13572
DALLAS, TX
Past
May 21, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
May 1, 2024 - September 8, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Greenwich, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(9/5/2025)
IAR
Connecticut(9/6/2025)
RR
Maryland(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/21/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
