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Kevin Broderick

Oppenheimer & CO. INC.
40 Years of Experience
Vienna, VA
1 DisclosureBroker
View SEC Summary
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Kevin Broderick is a registered investment advisor at Oppenheimer & CO. INC., based in Vienna, VA, with 40 years of industry experience. Kevin is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.

Oppenheimer & CO. INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1159 advisors
Number of Clients
39,036 clients
Average Client Portfolio
$940K average
Assets Under Management
$36.7B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1921 Gallows Road, Suite 220, Vienna, VA, 22182

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History

Regulatory History (1)
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Customer Dispute
October 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Kevin owns Shamrock Lacrosse, LLC, a sports training company, dedicating minimal time. He also co-owns a beach house rental property with his wife, spending minimal time on landscaping, cleaning, and painting.

Employment History
Current Registrations
Oppenheimer & CO. INC.
January 2009 - Present · 17 yrs 9 mos
Oppenheimer & CO. INC.Broker
December 2008 - Present · 17 yrs 10 mos
Previous Registrations
Citigroup Global Markets INC.
November 1996 - December 2008 · 12 yrs 1 mo
Citigroup Global Markets INC.Broker
October 1996 - December 2008 · 12 yrs 2 mos
Painewebber IncorporatedBroker
April 1986 - October 1996 · 10 yrs 6 mos
State Registrations26 states
ALAZCACOCTDCDEFLGAHIIDINKYMAMDMENCNJNYORPASCTNTXVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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