Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Broderick is an Investment Advisor Representative at Stifel, Nicolaus & Company, Inc. and Rockefeller Financial LLC. John is a licensed broker in over 40 states and the District of Columbia. John has worked in the financial services industry since 2019 and has a Series 7, 66, and SIE license. John earned a bachelor's degree from Washington & Lee University and is a Chartered Financial Analyst. John is registered to offer investment advice in New York, Texas, Alabama, Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Idaho, Illinois, Indiana, Kentucky, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, New Jersey, North Carolina, Ohio, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Utah, Virginia, Washington, and Wyoming.
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.
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.
1
2
NY
01/06/2022 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NY
08/02/2019 - 07/30/2021
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
BOTH
Issued 09/09/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/25/2021
Series 7TO - General Securities Representative Examination
BC
Issued 08/02/2019
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 07/06/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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