Leonard 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.
Leonard Brooks was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1985. Leonard had worked at 9 firms and has passed the Series 63, Series 7 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 21, 2011 - June 18, 2012
ENCLAVE CAPITAL LLC
April 9, 2007 - December 31, 2008
GOLDMAN SACHS & CO. LLC
November 17, 2006 - April 2, 2007
BDO CAPITAL ADVISORS, LLC
November 3, 2000 - September 13, 2006
UBS SECURITIES LLC
April 8, 1998 - November 3, 2000
UBS FINANCIAL SERVICES INC.
July 15, 1996 - April 13, 1998
DEUTSCHE BANK SECURITIES INC.
June 8, 1992 - May 9, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 5, 1988 - December 8, 1990
ALEX. BROWN & SONS INCORPORATED
September 24, 1985 - November 4, 1987
SALOMON BROTHERS 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
ENCLAVE CAPITAL LLC
CRD#: 22732 / SEC#: , 8-39592
Contact information
FINRA licenses (18 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
