Barbara B. 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.
Barbara Bolick Brooks, who also goes by Barbara Brooks, Barbara Bolick Pagnotti, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1982. Barbara had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2009 - April 14, 2017
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
June 29, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
June 29, 2006 - March 20, 2008
MSI FINANCIAL SERVICES, INC.
February 6, 1995 - April 15, 2004
UBS FINANCIAL SERVICES INC.
March 25, 1992 - January 24, 1995
KIDDER, PEABODY & CO. INCORPORATED
April 18, 1984 - April 16, 1992
UBS FINANCIAL SERVICES INC.
February 2, 1982 - March 1, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
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
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| HARTNETT, CHRISTINA A | CHIEF OPERATING OFFICER | 2672099 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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