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 a financial advisor at Stifel, Nicolaus & Company, Inc. John has been in the industry since September 11, 1988, with experience in several leading firms such as Barclays Capital Inc, Credit Suisse Securities (USA) LLC, and Lehman Brothers Inc. John is currently registered with Stifel, Nicolaus & Company, Inc. in New York, Pennsylvania, Texas, and Utah, and is also registered with Rockefeller Financial LLC and Rockefeller Capital Management in New York and Texas. John holds Series 63, 66, 7, 8, 9, 10, and 24 licenses. John is also registered as an Investment Advisor Representative in New York, Pennsylvania, Texas, and Utah. John specializes in financial planning, pension consulting, educational seminars, and portfolio management for individuals, businesses, and pooled investment vehicles.
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
01/02/2020 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NY
12/12/2011 - 12/04/2015
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
09/25/1996 - 01/05/2012
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
08/25/1988 - 09/06/1996
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 03/27/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/15/1988
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 09/09/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 05/05/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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