Robert K. 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.
Robert Keith Brooks, who also goes by Robert K Stuart Brooks, Robert Keith Stuart, Robert Stuart, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 31 firms and has passed the Series 66, Series 65, 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 20, 2012 - June 25, 2013
FREEDOM INVESTORS CORP.
February 28, 2011 - June 29, 2012
EZ STOCKS, INC.
July 17, 2008 - February 27, 2009
RICHFIELD ORION INTERNATIONAL, INC.
August 30, 2007 - May 9, 2008
SOURCE CAPITAL GROUP, INC.
June 28, 2006 - September 17, 2007
US EURO SECURITIES, INC
January 30, 2004 - November 3, 2004
KIPPSDESANTO & COMPANY
January 17, 2002 - November 24, 2003
CHICAGO INVESTMENT GROUP, LLC
May 28, 1997 - January 11, 2002
WOODSTOCK FINANCIAL GROUP, INC.
February 9, 1996 - June 2, 1997
TEXAS CAPITAL SECURITIES, INC.
June 30, 1995 - February 9, 1996
PARAGON CAPITAL MARKETS, INC.
June 22, 1995 - July 14, 1995
HUNTER INTERNATIONAL SECURITIES, INC.
January 4, 1995 - June 27, 1995
CORTLANDT CAPITAL CORPORATION
August 18, 1994 - January 10, 1995
THE AGEAN GROUP, INC
January 3, 1994 - August 22, 1994
G.R. STUART & COMPANY, INC.
November 26, 1993 - January 3, 1994
INVESTORS ASSOCIATES, INC.
November 12, 1993 - November 26, 1993
BARRON CHASE SECURITIES, INC.
October 12, 1993 - November 26, 1993
BARRON CHASE SECURITIES, INC.
July 15, 1993 - October 8, 1993
BARRON CHASE SECURITIES, INC.
April 28, 1993 - July 21, 1993
ASSET SECURITIES CORPORATION
April 28, 1992 - May 5, 1993
GKN SECURITIES CORP.
May 30, 1991 - May 6, 1992
JOSEPHTHAL & CO., INC.
January 18, 1991 - March 28, 1991
H.J. MEYERS & CO., INC.
January 27, 1989 - July 27, 1990
G. K. SCOTT & CO., INC.
January 24, 1989 - February 4, 1989
AMERIMUTUAL CORPORATION
October 7, 1988 - January 26, 1989
ALLIED CAPITAL GROUP, INC.
June 7, 1988 - November 8, 1988
SACCO SECURITIES CORPORATION
May 26, 1988 - June 8, 1988
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 24, 1988 - June 6, 1988
WELLSHIRE SECURITIES, INC.
December 14, 1987 - March 12, 1988
GREENTREE SECURITIES CORP.
October 15, 1987 - December 21, 1987
GRAYSTONE NASH, INC.
October 6, 1987 - October 26, 1987
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 18, 1987 - September 21, 1987
BRADSTREET CAPITAL, INC.
December 22, 1986 - August 29, 1987
MORGAN GLADSTONE & CO. INC.
October 30, 1986 - December 20, 1986
F.D. ROBERTS SECURITIES, 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
FREEDOM INVESTORS CORP.
CRD#: 23714 / SEC#: 801-39223, 8-40671
Contact information
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
