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Heather Jean Elizabeth Broderick

LPl Financial LLC

San Diego, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-01
  • CA RA
    APPROVED
    Since 2025-01-01

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial San Diego CA 05/2013 Present
  • 05/2013 → Present
    Lpl Financial
    San Diego, CA
Previous Registrations
  • 2008-08-06 → 2013-05-24
    Foresters Equity Services, Inc.
    San Diego, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-10-29
S63 Uniform Securities Agent State Law Examination 2004-07-19
  • S65 Uniform Investment Adviser Law Examination
    2007-10-29
  • S63 Uniform Securities Agent State Law Examination
    2004-07-19
Other Names
  • Heather Jean Elizabeth Valenze
  • Heather Ray
  • Heather Ray
  • Heather Jean Elizabeth Ray
  • Heather Jean Elizabeth Brodrick

View on SEC IAPD

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CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
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CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
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