Allen 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.
Allen Brooks was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1981. Allen had worked at 3 firms and has passed the Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 1983 - February 14, 1985
MUNICICORP OF CALIFORNIA
June 30, 1983 - July 27, 1983
BIRR, WILSON & CO., INC.
October 29, 1981 - June 29, 1983
GIBRALCO, 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
Current Firm
MUNICICORP OF CALIFORNIA
CRD#: 7184 / SEC#: , 8-19091
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
