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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

Gale Ann Brodie

Advisor at VANDERBILT ADVISORY SERVICES

WOODBURY, NY | Elk Grove, CA

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Search this name across graphsid dfx:ria:cd9606d9-873c-6a22-ffca-aea24dc26ecb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 2
On other graphs: 0
Observed: Aug 24, 1998 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: VANDERBILT ADVISORY SERVICES
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 8, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 10
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jan 8, 1985
First registration: Aug 24, 1998
Dual registered: yes, broker-dealer
Other names: GALE ANN JENCKES|GALE ANN JENCKES BRODIE|GALE ANN JENCKES|GALE ANN BRODIE|GALE A. BRODIE
IAPD individual key: 1318619

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VANDERBILT ADVISORY SERVICES	Bd affiliated wealth	Aug 11, 2025	n/a	yes	WOODBURY, NY\|Elk Grove, CA	Current employment
CENTAURUS FINANCIAL, INC.	Bd affiliated wealth	Jul 14, 2025	Sep 10, 2025	no	ANAHEIM, CA\|ELK GROVE, CA	Previous registration
VANDERBILT ADVISORY SERVICES	Bd affiliated wealth	Jul 26, 2021	Jul 11, 2025	no	Elk Grove, CA\|WOODBURY, NY\|Elk Grove, CA	Previous registration
FOUNDERS FINANCIAL SECURITIES, LLC	Independent wealth	Oct 2, 2017	Jul 28, 2021	no	Elk Grove, CA\|TOWSON, MD\|TOWSON, MD	Previous registration
WADDELL & REED	Former SEC adviser	Dec 13, 2013	Oct 12, 2017	no	SACRAMENTO, CA	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Dec 7, 2010	Dec 20, 2013	no	SACRAMENTO, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 8, 2009	Nov 18, 2010	no	GALT, CA	Previous registration
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	n/a	Nov 18, 2008	Sep 24, 2009	no	BOSTON, MA	Previous registration
ASSOCIATED SECURITIES CORP.	n/a	Nov 18, 2008	Sep 8, 2009	no	BOSTON, MA\|SAN MATEO, CA\|GALT, CA	Previous registration
FSC SECURITIES CORPORATION	Former SEC adviser	Oct 29, 2007	Nov 18, 2008	no	GALT, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Aug 24, 1998	Nov 25, 2002	no	SACRAMENTO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CENTAURUS FINANCIAL, INC.	VANDERBILT ADVISORY SERVICES	Sep 10, 2025	Aug 11, 2025	-30	Firm change	Ibd to ibd
VANDERBILT ADVISORY SERVICES	CENTAURUS FINANCIAL, INC.	Jul 11, 2025	Jul 14, 2025	3	Firm change	Ibd to ibd
FOUNDERS FINANCIAL SECURITIES, LLC	VANDERBILT ADVISORY SERVICES	Jul 28, 2021	Jul 26, 2021	-2	Firm change	RIA to ibd
WADDELL & REED	FOUNDERS FINANCIAL SECURITIES, LLC	Oct 12, 2017	Oct 2, 2017	-10	Firm change	Other
MSI FINANCIAL SERVICES, INC.	WADDELL & REED	Dec 20, 2013	Dec 13, 2013	-7	Firm change	Other
LPL FINANCIAL LLC	MSI FINANCIAL SERVICES, INC.	Nov 18, 2010	Dec 7, 2010	19	Firm change	Other
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	LPL FINANCIAL LLC	Sep 24, 2009	Sep 8, 2009	-16	Firm change	Other
ASSOCIATED SECURITIES CORP.	ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	Sep 8, 2009	Nov 18, 2008	-294	Firm change after gap	Other
FSC SECURITIES CORPORATION	ASSOCIATED SECURITIES CORP.	Nov 18, 2008	Nov 18, 2008	0	Firm change	Other
MORGAN STANLEY DW INC.	FSC SECURITIES CORPORATION	Nov 25, 2002	Oct 29, 2007	1,799	Firm change after gap	Other

Relationships

Registered with (10)

→ VANDERBILT ADVISORY SERVICESRegistered adviserregistration: previous registration
Jul 26, 2021 to Jul 11, 2025factForm ADV
→ CENTAURUS FINANCIAL, INC.Registered adviserregistration: previous registration
Jul 14, 2025 to Sep 10, 2025factForm ADV
→ FOUNDERS FINANCIAL SECURITIES, LLCRegistered adviserregistration: previous registration
Oct 2, 2017 to Jul 28, 2021factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Dec 13, 2013 to Oct 12, 2017factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Dec 7, 2010 to Dec 20, 2013factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 8, 2009 to Nov 18, 2010factForm ADV
→ ASSOCIATED PLANNERS INVESTMENT ADVISORY INCRegistered adviserregistration: previous registration
Nov 18, 2008 to Sep 24, 2009factForm ADV
→ ASSOCIATED SECURITIES CORP.Registered adviserregistration: previous registration
Nov 18, 2008 to Sep 8, 2009factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Oct 29, 2007 to Nov 18, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Aug 24, 1998 to Nov 25, 2002factForm ADV

Dated events

Occurred
Sep 10, 2025
Advisor changed firm
Gale Ann Brodie left Centaurus Financial, Inc. for Vanderbilt Advisory Services (registered 2025-08-11)
Form ADVobserved 5 days ago
Occurred
Jul 11, 2025
Advisor changed firm
Gale Ann Brodie left Vanderbilt Advisory Services for Centaurus Financial, Inc. (registered 2025-07-14)
Form ADVobserved 5 days ago