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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

JOHN CHRISTOPHER BRODERICK

Advisor at ROCKEFELLER CAPITAL MANAGEMENT

New York, NY | Park City, UT

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Search this name across graphsid dfx:ria:cd9aabb5-7918-2048-c0e7-30018a2ca6c6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 2, 2008 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: ROCKEFELLER CAPITAL MANAGEMENT
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: Sep 15, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 2
Registered states: 3
Exams: S63|S66
First exam: Sep 15, 1988
First registration: Apr 2, 2008
Dual registered: yes, broker-dealer
Other names: JOHN CHRISTOPHER BRODERICK|JOHN BRODERICK|JACK BRODERICK
IAPD individual key: 1470736

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
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	Feb 14, 2025	n/a	yes	Park City, UT	Current employment
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	Feb 14, 2025	n/a	yes	Park City, UT\|New York, NY	Current employment
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Dec 4, 2015	Mar 4, 2025	no	ST. LOUIS, MO\|NEW YORK, NY\|PARK CITY, UT\|Park City, UT\|NEW YORK, NY	Previous registration
BARCLAYS CAPITAL INC.	Former SEC adviser	Dec 12, 2011	Dec 4, 2015	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Apr 2, 2008	Jan 5, 2012	no	NEW YORK, NY\|NEW YORK, NY	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
STIFEL, NICOLAUS & COMPANY, INCORPORATED	ROCKEFELLER CAPITAL MANAGEMENT	Mar 4, 2025	Feb 14, 2025	-18	Firm change	Ibd to ibd
BARCLAYS CAPITAL INC.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Dec 4, 2015	Dec 4, 2015	0	Bulk transfer	Other
CREDIT SUISSE SECURITIES (USA) LLC	BARCLAYS CAPITAL INC.	Jan 5, 2012	Dec 12, 2011	-24	Firm change	Other

Relationships

Registered with (5)

→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Feb 14, 2025 to presentfactForm ADV
→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Feb 14, 2025 to presentfactForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Dec 4, 2015 to Mar 4, 2025factForm ADV
→ BARCLAYS CAPITAL INC.Registered adviserregistration: previous registration
Dec 12, 2011 to Dec 4, 2015factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Apr 2, 2008 to Jan 5, 2012factForm ADV

Dated events

Occurred
Mar 4, 2025
Advisor changed firm
John Christopher Broderick left Stifel, Nicolaus & Company, Incorporated for Rockefeller Capital Management (registered 2025-02-14)
Form ADVobserved 5 days ago