Alan Lawrence Broderick

Current Employers

Employment History

• 05/2009 → 01/2018
  Wells Fargo Advisors Financial Network Llc
  Williamsburg, VT
• 03/2018 → Present
  Purshe Kaplan Sterling Investments
  Albany, NY
• 01/2018 → Present
  Bay Rivers Group Wealth Partners
  Williamsburg, VA

Previous Registrations

• 2006-12-07 → 2018-03-07
  Wells Fargo Advisors Financial Network, Llc
  Williamsburg, VA
• 2006-02-21 → 2006-12-15
  Citigroup Global Markets Inc.
  Williamsburg, VA
  New York, NY
  Williamsburg, VA
• 2002-09-25 → 2006-02-21
  Legg Mason Wood Walker, Incorporated
  Williamsburg, VA

Other Businesses

1. Bay Rivers Group Wealth Advisors-Investment related-5107-2 Center Street, Williamsburg, VA 23188-Advisory & financial planning services-Chief compliance officer, partner, owner.-10/27/2017-200 hrs/mth-130 during trading hrs-All duties of RIA operations, compliance, client interaction, portfolio management, financial planning. 2. 5107 Partners, LLC-investment related-5107 Center Street, Williamsburg, VA 23185-Real Estate Ownership-Owner-8/2018-1 hrs/mth-0 during trading hrs- As an owner of the LLC I will have duties such as ensuring bills are paid. An outside bank account will be formed to pay the financing costs, taxes, isnruace, etc. No investment accounts will be opened. 3. PKS Financial. Investment Related. 80 State St, Albany, NY 12207. Insurance. Agent. Start 8/2019. 1 hour per month during trading. Speak with clients about insurance needs, work with PKSF to get quotes, submit applications, and put policies in-force. 4. Medicare Advantage. Investment Related. 5107 Center Street B1, Williamsburg, VA 23188. Insurance. Agent. 1 hour per month during trading. Speak with clients about Medicare needs, work with general agency to get quotes, submit applications, and put policies in-force. 5.ABCM Partners, LLC dba Bay Rivers Group Tax Services; investment related: YES; Location of the business: 5107 Center Street B1; Description of the business: Bay Rivers Group Tax Preparation will have a CPA that will provide tax preparation services for the public. ; Position Title: Partner; Responsibilities Duties: Duties will include managing the expenses of the LLC. Most business functions, including all tax preparation services of the LLC, will be managed by the CPA.; Start date with business: 2020-11-01; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 1.

Exams

• S66 Uniform Combined State Law Examination
  2002-09-24

Designations

Other Names

• Alan L. Broderick