Daniel J. Brooks
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel Jordan Brooks III, who also goes by Dan J Brooks III, Dan Jordan Brooks III, Dan Brooks, Daniel Jordan Brooks Iii, Daniel Jordan Brooks, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1981. Daniel had worked at 19 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2017 - August 31, 2018
ALLSTATE FINANCIAL SERVICES, LLC
April 26, 2016 - February 15, 2017
L & S ADVISORS, INC
August 18, 2014 - April 26, 2016
PRINCIPAL SECURITIES, INC.
May 31, 2012 - March 13, 2013
SAXONY SECURITIES, INC.
May 31, 2012 - August 25, 2014
PATRICK CAPITAL MARKETS, LLC
August 3, 2007 - May 4, 2012
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 29, 2007 - July 30, 2007
ALLIANZ LIFE FINANCIAL SERVICES, LLC
August 18, 2005 - January 30, 2007
OLD MUTUAL INVESTMENT PARTNERS
October 29, 2004 - July 12, 2005
AMUNDI ASSET MANAGEMENT US, INC.
June 25, 2003 - July 12, 2005
AMUNDI DISTRIBUTOR US, INC.
April 29, 2002 - June 26, 2003
CAPITAL BROKERAGE CORPORATION
July 17, 2000 - December 12, 2001
COREBRIDGE CAPITAL SERVICES, INC.
August 13, 1997 - July 14, 2000
DELAWARE DISTRIBUTORS, L.P.
February 29, 1992 - June 2, 1997
INVESCO DISTRIBUTORS, INC.
February 28, 1992 - June 2, 1997
INVESCO DISTRIBUTORS, INC.
December 19, 1989 - February 21, 1992
FORTH FINANCIAL SECURITIES, CORPORATION
December 2, 1988 - November 27, 1989
GLOBAL ATLANTIC DISTRIBUTORS, LLC
January 25, 1988 - December 14, 1988
PRUDENTIAL EQUITY GROUP, LLC
August 3, 1985 - February 8, 1988
MORGAN KEEGAN & COMPANY, LLC
August 15, 1981 - July 22, 1985
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 5/31/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
