Mark S. 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.
Mark Stanley Brooks was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 6 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2015 - May 9, 2016
ORBIT GROUP LLC
August 26, 1999 - September 29, 2021
NEXT FINANCIAL GROUP, INC.
November 22, 1991 - September 2, 1999
ADVANTAGE CAPITAL CORPORATION
November 13, 1989 - January 2, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
April 26, 1989 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
August 10, 1987 - May 11, 1989
ROTAN MOSLE INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ORBIT GROUP LLC
CRD#: 173271 / SEC#: , 8-69534
Contact information
Documents
Red Flags
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