Susan Kim Broaddus

CRD 4864857 · Fidelity Brokerage Services LLC · Salt Lake City, UT

IA RegisteredBroker

Also appears in the source record as: Susan Y Broaddus; Susan Kim Kim Broaddus; Susan K Broaddus; Susan Y Kim; Susan Y. Kim; Susan Yu Kyung Kim

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (51): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 21
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (11)

From the source registration record · current first

Strategic Advisers LLCCurrent
Costa Mesa, CA · IA capacity

start not retrieved → present
Fidelity Brokerage Services LLCCurrent
Salt Lake City, UT · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
Newport Beach, CA · IA capacity

Feb 21, 2019 → Mar 31, 2025
Td Ameritrade, Inc.
Irvine, CA · IA capacity

Apr 1, 2009 → Feb 14, 2019
Td Ameritrade Investment Management, LLC
Irvine, CA · IA capacity

Apr 1, 2009 → Feb 14, 2019
Td Ameritrade, Inc.
Irvine, CA · BC capacity

Apr 1, 2009 → Feb 14, 2019
Capital Growth Resources
Newport Beach, CA · BC capacity

Oct 11, 2007 → Apr 1, 2009
Olmsted Advisors, Inc.
Newport Beach, CA · IA capacity

Jan 4, 2008 → Dec 31, 2008
Ameriprise Financial Services, Inc.
Irvine, CA · IA capacity

Sep 20, 2005 → Sep 27, 2007
Ameriprise Financial Services, Inc.
Irvine, CA · BC capacity

Jul 27, 2005 → Sep 27, 2007
Wm Financial Services, Inc.
Irvine, CA · BC capacity

May 30, 2005 → Jul 15, 2005

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 4864857 ↗ FINRA BrokerCheck record for CRD 4864857 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.