Richard A. 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.
Richard Allen Brooks was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 6 firms and has passed the Series 63, Series 7, Series 6, Series 22 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
January 9, 1992 - August 29, 1994
ROBERT THOMAS SECURITIES, INC
December 8, 1987 - October 31, 1996
VERAVEST INVESTMENTS, INC.
November 6, 1987 - April 10, 1990
IPI SECURITIES, INC.
September 15, 1986 - October 16, 1987
UNITED CAPITAL SECURITIES, INC.
September 25, 1985 - September 12, 1986
KEOGLER, MORGAN & COMPANY, INC.
April 15, 1985 - September 30, 1985
SOURCE SECURITIES, INC.
March 15, 1983 - April 4, 1985
UNITED CAPITAL SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROBERT THOMAS SECURITIES, INC
CRD#: 10147 / SEC#: , 8-26680
Contact information
Documents
Red Flags
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