James Joseph Broderick

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2012 → 01/2019
  Michael Mckiernan
  Fairfield, NJ
• 09/2012 → 04/2022
  Northwestern Mutual Investment Services, Llc
  New York, NY
• 01/2019 → 04/2022
  James Dinardo
  New York, NY
• 01/2019 → 04/2022
  Kevin Luchetta
  New York, NY
• 01/2019 → 04/2022
  Ben Feldman
  New York, NY
• 03/2015 → 04/2022
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 09/2020 → 04/2022
  Paul Tortorella
  New York, NY
• 05/2022 → 02/2023
  Magnus Financial Group
  New York, NY
• 02/2023 → 06/2024
  Matthew Greene
  Norwalk, CT
• 03/2023 → 06/2024
  Northwestern Mutual Investment Services Llc
  Norwalk, CT
• 01/2019 → 04/2022
  Stephen Schwartz
  New York, NY
• 07/2023 → 07/2024
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 10/2024 → Present
  Lpl Financial
  Denville, NJ

Previous Registrations

• 2023-03-17 → 2024-06-26
  Northwestern Mutual Investment Services, Llc
  Norwalk, CT
• 2012-12-03 → 2022-04-22
  Northwestern Mutual Investment Services, Llc
  Fairfield, NJ
  New York, NY

Other Businesses

1. 10/11/2024- Duphiney Financial Network- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s)- Start Date 10/21/2024

Exams

• S66 Uniform Combined State Law Examination
  2012-11-28

Designations

• Certified Financial Planner

Other Names

• Jim Broderick
• Jimmy Broderick