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Mark W. Brooks

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CRD#: 1272926
MB

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.

Mark Winfield Brooks, who also goes by Bunky Brooks, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 10 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bunky Brooks

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 29, 1998 - May 21, 2002

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
PETALUMA, CA
Past

June 18, 1997 - February 27, 1998

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
WALTHAM, MA
Past

October 11, 1995 - July 3, 1997

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

April 27, 1993 - October 10, 1995

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

April 18, 1991 - May 7, 1993

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE
Past

January 4, 1989 - November 29, 1990

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

January 4, 1989 - November 29, 1990

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

May 11, 1988 - November 29, 1988

ROYAL/GRIMM & DAVIS, INC.

BD
CRD#: 8273
Past

June 14, 1985 - April 17, 1986

MGIC MORTGAGE SECURITIES CORPORATION

BD
CRD#: 16105
Past

October 22, 1984 - December 28, 1984

MGIC MORTGAGE SECURITIES CORPORATION

BD
CRD#: 8178

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/3/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/22/1994
General Securities Principal Examination

Current Firm

LF
LEGACY FINANCIAL SERVICES, INC.
LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697 / SEC#: , 8-48360

BD
Terminated by SEC on 11/28/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 04/27/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
REGAN HOLDING CORPORATIONHOLDING CORPORATION
CAIRNS, MICHAEL IANFINANCIAL AND OPERATIONS PRINCIPAL5409908
EAKEN, CHRISTINA LYNNVP, CHIEF COMPLIANCE OFFICER, SECRETARY4484258
PITTS, ROBERT PRESTON JRPRESIDENT/DIRECTOR2624478
REGAN, LYNDA LOUISEDIRECTOR2149722

Disclosures

Regulatory Event5
Civil Event1
Arbitration3

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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Company Information

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

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