Gale Brodie is a California based securities broker. She has worked in the securities industry for thirty-three years. During her career, she has been registered with nine different securities firms.
Her registrations include; Dean Witter Reynolds (1984-1995), Merrill Lynch (1995-1998), Morgan Stanley (1998-2002), FSC Securities Corporation (2003-2008), Associated Securities (2008-2009), LPL Financial Corporation (2009-2010), MetLife Securities (2010-2013), and Waddell & Reed (2013-2017), and Founders Financial Securities (2017-Present).
Gale Brodie’s publicly available FINRA BrokerCheck report shows that she has received two customer complaints during her career.
In January 2014, claimants alleged that Brodie misrepresented the variable annuities purchased in October 2013 and that the trade activity within their brokerage accounts was not appropriate.
In April 2018, a customer alleged that Brodie stated their principal was guaranteed on his investments in a Unit Trust and bond fund.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Gale Brodie, please contact Oakes & Fosher for a free and private consultation.