George E. Brooks
Professional summary
George Evans Brooks was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
George is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, George had worked at 6 firms, which includes MOREHEAD INVESTMENT ADVISORS INC., IFG NETWORK SECURITIES INC., DERAND/PENNINGTON/BASS INC., LEGG MASON WOOD WALKER INCORPORATED, THE PINNACLE GROUP INC., THE ROBINSON-HUMPHREY COMPANY LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 1994 - May 25, 1999
MOREHEAD INVESTMENT ADVISORS, INC.
May 11, 1992 - March 23, 1994
IFG NETWORK SECURITIES, INC.
June 20, 1990 - May 14, 1992
DERAND/PENNINGTON/BASS, INC.
September 27, 1988 - May 15, 1990
LEGG MASON WOOD WALKER, INCORPORATED
May 27, 1986 - September 17, 1988
THE PINNACLE GROUP, INC.
September 24, 1982 - June 5, 1986
THE ROBINSON-HUMPHREY COMPANY, LLC
State Registrations and Notice Filings
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Exams
Current Firm
MOREHEAD INVESTMENT ADVISORS, INC.
CRD#: 35559 / SEC#: , 8-46752
Contact information
Documents
Red Flags
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