Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Charles Broman is a financial professional with over 15 years of experience in the industry. Adam currently works at Santander US Capital Markets LLC in New York. Adam has held previous roles at Barclays Capital Inc. and Lehman Brothers Inc., also in New York. Adam holds the Series 7, Series 63, Series 24, and SIE licenses. Adam is registered in 38 states and the District of Columbia.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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NY
06/29/2015 - Present
Santander US Capital Markets LLC (NEW YORK NY)
NY
09/22/2008 - 04/20/2015
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
01/09/2006 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 03/06/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/02/2019
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/07/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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