Brad C. 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.
Brad Curtis Brooks, who also goes by Brad C Brooks, was a registered financial professional .
Brad is a previously registered financial professional and started their career in finance in 1986. Brad had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 4, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2006 - July 3, 2023
TITAN SECURITIES
October 7, 2005 - July 3, 2023
TITAN SECURITIES
October 7, 2004 - September 8, 2005
SOUTHWEST TEXAS CAPITAL, L.L.C
August 16, 2004 - September 8, 2005
SOUTHWEST TEXAS CAPITAL, L.L.C
May 20, 1994 - June 30, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 18, 1994 - June 30, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 3, 1989 - May 12, 1994
J.P. MORGAN SECURITIES LLC
November 20, 1986 - July 19, 1989
LEHMAN 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 3/26/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TITAN SECURITIES
CRD#: 131392 / SEC#: , 8-66462
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 950 |
| AUM (Assets Under Management) | $ 70,000,000 |
Disclosures
| Regulatory Event | 7 |
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.
