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Ellen Ann Broderick

Edward Jones

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About Ellen Ann Broderick

Ellen Broderick is a financial advisor with Edward Jones. Ellen has over 20 years of experience in the financial services industry. Ellen has earned licenses including Series 7, 9, 10, 63, and 65. Ellen is registered to provide investment advice in 15 states. Ellen has previously worked for firms including Oppenheimer & Co. Inc., Kestra Investment Services, LLC, Ameriprise Financial Services, Inc., Hornor, Townsend & Kent, Inc., AXA Advisors, LLC, National Financial Services LLC, and Lehman Brothers Inc.

Firm Information

Ellen Broderick is currently registered with Edward Jones. Edward Jones is a financial services firm headquartered in St. Louis, Missouri, that offers investment management and financial planning services to individuals, families, and businesses. Founded in 1941, the firm has a nationwide network of over 19,832 licensed agents and 22,210 registered representatives. Edward Jones manages approximately $10 billion to $50 billion in assets for a variety of clients, including high-net-worth individuals, corporations, and pension plans. The firm provides a range of advisory services, including portfolio management for individuals and businesses, pension consulting, and financial planning. Edward Jones is registered with the Securities and Exchange Commission and holds licenses in all 50 states, the District of Columbia, and Puerto Rico.
Edward Jones

12555 MANCHESTER RD

ST. LOUIS, MO 63131

$824.99B

Assets Under Management

27,895

Total Clients

22,064

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

See schedule d - miscellaneous

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Ellen Broderick’s Registration & Firm History

NY

09/23/2024 - Present

Edward Jones (FARMINGDALE NY)

FL

06/01/2021 - 12/02/2022

PEAK BROKERAGE SERVICES, LLC (JUPITER FL)

NY

04/04/2018 - 08/25/2020

OPPENHEIMER & CO. INC. (JERICHO NY)

NY

11/30/2012 - 12/22/2017

KESTRA INVESTMENT SERVICES, LLC (Pt. Jefferson NY)

NY

12/07/2011 - 09/19/2012

AMERIPRISE FINANCIAL SERVICES, INC. (MITCHEL FIELD NY)

NY

08/15/2003 - 11/03/2010

HORNOR, TOWNSEND & KENT, INC. (UNIONDALE NY)

NY

03/26/2002 - 08/12/2003

AXA ADVISORS, LLC (NEW YORK NY)

MA

07/31/1999 - 06/25/2001

NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)

NY

09/17/1996 - 07/13/1999

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 03/27/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/12/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 05/12/1998

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/16/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Ellen Ann Broderick.
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