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James M Broderick
JAMES M BRODERICK, JAMES MINIHANE BRODERICK
CRD#: 4691968
IA
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VALMARK ADVISERS, INC.CRD#: 108050 812 Huron Rd, Ste. 670
Cleveland, OH 44115
Cleveland, OH 44115
VALMARK SECURITIES, INC.CRD#: 31243 812 HURON ROAD
SUITE 670
CLEVELAND, OH 44115
SUITE 670
CLEVELAND, OH 44115
0
Disclosures
16
Years of Experience
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State Registrations
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Ohio 11/1/2024
IA
Ohio 11/12/2024
SRO Registrations
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Registered with this firm since 11/12/2024
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Registered with this firm since 10/31/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/08/2006 - 10/02/2019 | NEW YORK, NY | |
B | 06/15/2005 - 10/02/2019 | NEW YORK, NY | |
IA | 05/04/2004 - 05/27/2005 | PENNINGTON, NJ | |
B | 03/31/2004 - 05/27/2005 | NEW YORK, NY | |
B | 08/08/2003 - 01/26/2004 | CONSHOHOCKEN, PA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.