Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn William Broderick is a financial advisor with over 25 years of experience in the financial services industry. John has been registered with Charles Schwab & CO., Inc. since December 2022, and previously held positions with TD Ameritrade, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. John holds the Series 7, 31, and 63 licenses and the SIE exam as well as the Series 65 license. John is also a Certified Financial Planner. John is committed to providing clients with personalized financial advice and investment management services. John specializes in providing financial planning and portfolio management services for individuals and families.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
06/21/2023 - Present
Charles Schwab & CO., Inc. (Westlake TX)
TX
03/19/2020 - 05/11/2024
TD AMERITRADE, INC. (WestLake TX)
FL
09/16/2005 - 12/24/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PALM BEACH GARDENS FL)
NY
10/18/1995 - 09/20/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 11/09/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 10/17/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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