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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Mitchell Brodsky is an investment advisor representative with Raymond James & Associates, Inc.. David has been in the financial services industry for over 30 years and has experience in financial planning, portfolio management, and investment advisory services. David is registered with FINRA, the Securities and Exchange Commission, and several state securities regulators.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
02/22/2011 - Present
Raymond James & Associates, Inc. (WESTLAKE VILLAGE CA)
CA
01/01/2008 - 05/04/2009
WACHOVIA SECURITIES, LLC (WESTLAKE VILLAGE CA)
CA
05/02/2005 - 01/03/2008
A. G. EDWARDS & SONS, INC. (WESTLAKE VILLAGE CA)
NY
03/09/2002 - 05/18/2005
RBC DAIN RAUSCHER INC. (NEW YORK NY)
CA
05/03/1999 - 03/09/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NY
03/20/1990 - 06/28/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 04/22/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/26/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/10/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/28/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/26/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 03/17/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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