Roger M. Brooks

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CRD#: 1546021

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.

Roger Michael Brooks was a registered financial professional .

Roger is a previously registered financial professional and started their career in finance in 1986. Roger had worked at 13 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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®

CRD#: 15655

Past

September 24, 1986 - November 4, 1987

GREENTREE SECURITIES CORP.

CRD#: 7372

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

Series 63

Date: 10/7/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/20/1986

General Securities Representative Examination

Current Firm

A.J. MICHAELS & CO., LTD.

A.J. MICHAELS & CO., LTD. | BEST INVESTORS GROUP, INC.

CRD#: 19883 / SEC#: , 8-37891

Terminated by SEC on 07/27/1998

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 03/13/1987

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Red Flags

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Firm Stability Insights

Roger M. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRADE.COM ONLINE SECURITIES, INC.

FIRST CAMBRIDGE SECURITIES CORPORATION

FIRST ALLIED SECURITIES, INC.

RICKEL & ASSOCIATES, INC.

A. T. BROD & CO. INC.

BRILL SECURITIES, INC.

D. BLECH & COMPANY, INCORPORATED

HANOVER, STERLING & COMPANY LTD.

GKN SECURITIES CORP.

BLUESTONE CAPITAL CORP.

J. T. MORAN & CO., INC.

GREENTREE SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/7/1986

Series 7

Date: 9/20/1986

Current Firm

A.J. MICHAELS & CO., LTD.

Contact information

Documents

Red Flags

Company Information

A.J. MICHAELS & CO., LTD.

TRUST BUT VERIFY

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