Stephen E. 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.
Stephen Edward Brooks, who also goes by Steve Brooks, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1986. Stephen had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2018 - February 6, 2020
LPL FINANCIAL LLC
February 14, 2018 - February 6, 2020
LPL FINANCIAL LLC
June 23, 2009 - February 14, 2018
INVEST FINANCIAL CORPORATION
June 3, 2009 - February 14, 2018
INVEST FINANCIAL CORPORATION
June 13, 2008 - June 4, 2009
CITIGROUP GLOBAL MARKETS INC.
April 9, 2008 - June 23, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
April 9, 2008 - June 23, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
July 2, 2002 - April 9, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 17, 2002 - April 9, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 7, 1994 - July 1, 2002
GREAT SOUTHERN INVESTMENTS
September 8, 1992 - May 26, 1994
BOATMEN'S INVESTMENT SERVICES, INC.
April 16, 1991 - September 23, 1992
GRIFFIN FINANCIAL SERVICES
March 1, 1990 - April 1, 1991
GRIFFIN FINANCIAL SERVICES
July 23, 1986 - March 12, 1990
FFP SECURITIES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
